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  2. 2. DEPARTMENT OF NEUROLOGY FACULTY POLICIES AND PROCEDURES MANUAL Table of Contents NEW FACULTY ORIENTATION INFORMATION ................................................................... 3 FACULTY AND STAFF LOCATION GUIDE............................................................................. 5 FACULTY CALL POLICY ........................................................................................................... 9 DICTATION INSTRUCTIONS ..................................................................................................... 8 GUIDELINES TO IMPROVE DICTATION................................................................................. 9 CURRICULUM VITAE FORMAT ............................................................................................. 12 COMMITTEES AND MEETINGS.............................................................................................. 14 CONTRACT AND GRANT PROCEDURES.............................................................................. 14 Sample Grants.Gov Proposal ................................................................................................... 16 Sample NIH Biosketch and Continuation page ....................................................................... 26 Disclosure of Financial Conflict of Interest form.................................................................... 31 Grant Receipt Dates ................................................................................................................. 32 COMPUTER INFORMATION.................................................................................................... 34 INFORMATION SECURITY…………………………………………….…………….…..........36 EMERGENCY INFORMATION DATA..................................................................................... 38 FRINGE BENEFITS - CLINICAL & TENURED FACULTY ................................................... 40 FRINGE BENEFITS - ACADEMIC FACULTY (PH.D.)........................................................... 45 EXPENDITURES FOR SERVICES AND OTHER ITEMS ....................................................... 46 PURCHASE REQUEST............................................................................................................... 47 FACULTY LEAVE POLICY....................................................................................................... 48 OUTSIDE ACTIVITIES AND CONFLICTS OF INTEREST .................................................... 51 TRAVEL POLICY ....................................................................................................................... 53 FACULTY LEAVE AND CLINIC SCHEDULE CHANGE REQUEST.................................... 56 REQUEST FOR TRAVEL APPROVAL ..................................................................................... 57 TRAVEL REIMBURSEMENT REQUEST................................................................................. 58 RESIDENTS……………………………………………………………………………….......... 59 This handbook can is also available online at: University of Florida Faculty Handbook can be accessed at: Information on Outside Activities, Tenure and Promotion, Intellectual Property and other policies and procedures can be found from this location. 2
  3. 3. NEW FACULTY ORIENTATION INFORMATION Fringe Benefits .......................................…Janis Smith, Room G1003, HSC, 273-5077 Self-Insurance Program………………….Martin Smith, 3450 Hull Rd, Suite 4358, 273-7006 (Professional Liability Insurance) .......................................... Campus Box 112735 Department of Neurology Administrative Office Suite L3-100 McKnight Brain Institute (MSB) Annual/Sick Leave Records – Polly Glattli, L3-100 McKnight Brain Institute 273-5551. See Faculty Leave Policy. Changes in Withholding Exemptions – Address and/or martial status. See Polly Glattli for forms. Computer/E-Mail Address, etc. – Submit a service request through the UFBI web page at Must sign in using mbi and then their username and password. Contact Polly Glattli or Janet Kearney with additional questions. Faculty Meeting – Date/Times, Pablo Rios, L3-100, McKnight Brain Institute, 273-5554. Faculty Meetings are the last Tuesday of each month at 11:30 a.m. in room E-336 of the VA immediately after Grand Rounds. Faculty are notified if change in time/place. Refer to page 13 of manual for more information on Committees and Meetings. Grant Proposals – Coordinate with Heather Chitty, L3-100, McKnight Brain Institute, 273-5550. (See Contract and Grant Procedures) Health Center Library Information – Communicore Bldg., First Floor, 392-4012. Check with Neurology Fiscal Section before incurring any charges for library service. Health Insurance/Claims/Forms – Janis Smith, Room G1003, HSC, 273-5077 Injury – If you are injured on the job, immediately contact Polly Glattli or Janet Kearney at 273-5550 for instructions. Biomedical Media Services (BMS) – Communicore Building, Room C3-9, services to be performed by BMS should be coordinated with the fiscal staff in advance. Please contact Robin Smith or Ann Clemons at 273-5547. Memberships, Subscriptions – See Fringe Benefits Chapter. For reimbursement information contact Neurology Fiscal Section. Office Supplies – Contact Shuri Pass in the Administrative Office, 273-5654. University Parking Decals – Contact Transportation and Parking Services at 392-2241. 3
  4. 4. Must take vehicle registration and Gator 1 Card with you; parking fees vary with type of decal/space purchased. Direct Deposit – Direct deposit is mandatory for University of Florida employees. Call Polly Glattli for information or forms, or see your financial institution. Staff ID (Gator 1 Card) – Pictures taken at BMS at the Health Science Center. Polly Glattli submits request to BMS, and BMS contacts faculty member to schedule. All providers and staff working at clinical sites are required to wear their Staff ID for professional liability reasons. See Polly Glattli if you need a duplicate Gator 1 card or if you would like to request one for a spouse. Travel Reimbursement – Please see the travel section of this manual. Travel Requests (Conference/Other) – Must be approved in advance by Department Chairperson. Approval forms are located in Travel Section of this manual and on the Neurology website at 4
  5. 5. NEUROLOGY FACULTY AND STAFF LOCATION GUIDE College of Medicine Medical Student Education – Room G1-018, Box 100222, 392-4321 Neurology Contacts Jennifer Shipley, Program Assistant to Chairman and Residency Program Coordinator Bayard Miller, MD, Clerkship Director Administration & Chairman's Office 273-5550 – McKnight Brain Institute, L3-100, Box 100236 FACULTY David Burks, MD E-Mail: Assistant Professor of Neurology Jean E. Cibula, MD E-Mail: Assistant Professor Edgardo Cruz-Martinez, MD E-Mail: Assistant Professor Leilani Doty, PhD E-Mail: Associate Scientist Administrator, University of Florida Cognitive and Memory Disorder Clinics Stephan Eisenschenk, MD E-Mail: Associate Professor of Neurology Clinical Director, Adult Neurology Comprehensive Epilepsy Program Medical Director, UF & Shands Epilepsy Monitoring Unit Hubert Fernandez, MD E-Mail: Associate Professor Director, Clinical Trials for Movement Disorders Co-Director, Movement Disorders Center Program Director, Neurology Residency and Movement Disorders Fellowship Glen Finney, MD E-Mail: Assistant Professor Leslie J. Gonzalez-Rothi, PhD E-Mail: Professor, Departments of Neurology, Clinical and Health Psychology, and Communicative Processes and Disorders Program Director, VA Brain Rehabilitation Research Center Melvin Greer, MD E-Mail: Bob Paul Family Professor of Neurology Former Chair, Department of Neurology 5
  6. 6. Kenneth M. Heilman, MD E-Mail: Professor of Neurology and Clinical Psychology Program Director and Chief, NF/SG VAMC Director, University of Florida Cognitive and Memory Disorder Clinics Paul Hoffman, MD E-Mail: Professor of Neuroscience Director, Translational Neuroscience Research Program at VA Medical Center Sandip Jain, MD E-Mail: Clinical Lecturer David W. Loring, PhD E-Mail: Professor, Departments of Neurology and Clinical & Health Psychology Irene Malaty, MD E-Mail: Clinical Lecturer Kimford Meador, MD E-Mail: Melvin Greer Professor of Neurology Director of Clinical Research for the Alzheimer's Disease Program Bayard Miller, MD E-Mail: Interim Chair, Department of Neurology Stephen E. Nadeau, MD E-Mail: Professor of Neurology and Clinical & Health Psychology Michael S. Okun, MD E-Mail: Associate Professor of Neurology Co-Director, Movement Disorders Center Ramon Rodriguez, MD E-Mail: Clinical Assistant Professor Director of Movement Disorders Clinic Frank Skidmore, MD E-Mail: Assistant Professor Director of VA Movement Disorders Clinic William J. Triggs, MD E-Mail: Associate Professor of Neurology Director, Human Motor Physiology Laboratory Director, Electromyography Laboratory Basim Uthman, MD E-Mail: Associate Professor of Neurology 6
  7. 7. Edward Valenstein, MD E-Mail: The William L. and Janice M. Neely Professor of Neurology and Clinical & Health Psychology Director, Neurology Residency Program Michael Waters, MD, PhD E-Mail: Assistant Professor Director, University of Florida Stroke Program Robert T. Watson, MD E-Mail: Professor of Neurology and Clinical & Health Psychology Senior Associate Dean for Educational Affairs Vice-Chair, Department of Neurology 7
  8. 8. STAFF Janet Kearney, Assistant Director, Med/Health Admin Robin Smith, Sr. Accountant Polly Glattli, Administrative Assistant Ann Clemons, Sr. Fiscal Assistant Heather Chitty, Grants Specialist Pablo Rios, Senior Secretary to the Chair Jennifer Shipley, Program Assistant, Education and Residency Program Coordinator Jessica Brooker, Program Assistant for Epilepsy Amanda Garrett, Scheduler, Epilepsy Rachelle Stephen, Program Assistant and Outreach Coordinator, Movement Disorders Jonathan Gravely, Sr. Clerk, Movement Disorders Linda Kilgore, Sr. Secretary to Dr. Meador Shuri Pass, Clerk, Receptionist Frank Walch, Student Assistant CLINIC STAFF Surgical Specialties, Third Floor, Medical Plaza, 2000 SW Archer Road, 32610, 265-8408 Robert Davis, ACU Manager – Financial counseling, screen schedules, overbooks (add-ons), schedule EMGs, ancillary insurance authorizations, missing charges, rejections, outpatient advocate, adds & verifies insurance, emergency admission coordinator/insurance authorizations. Della Brown – RN Supervisor Cathy Douglas – RN LaDonna Banks – CNA Pam Helton – CNA Zelda Rutledge – MA Donna Quirin and Katrina Powell – New patient scheduling, occasional phone back-up, return scheduling, adds and verifies insurance, new patient notification (mail & phone), screen referrals, pull schedules, clear fax machine, back-up Department chart pulls, E-mails messages, scheduling & rescheduling, canceling (overbook), fax out referral form Erin James and Asteria Lancaster-Kennedy – Receptionist, prints schedules, clear fax machine, E-mails messages, scheduling and rescheduling, canceling (overbook), faxing referral forms, bump lists, new & return patient notification, filing (charts and loose materials), chart preparation, Department chart pulls Ashley Conerly – Office Receptionist Phyllis Mitchell – Financial Counselor, check out, scheduling screening Kathy Novak – Financial Counselor, check out, scheduling screening 8
  9. 9. FACULTY CALL POLICY Neurology faculty are assigned to the ward schedule for Shands at UF in two week intervals by Dr. Valenstein. Faculty who attend at the VA will have their schedule assigned by Dr. Kenneth Heilman. DICTATION INSTRUCTIONS From a touch tone phone: 1. Dial 265-0385. Wait for the system to answer. 2. Enter your physician ID number and press #. 3. Enter the report type number, then press #. Document Name Work Type # LCR Code Neurology Clinic Note 33 300 EEG 40 300, 680 4. When prompted for the Shands medical record number, enter 55 followed by the # key if the patient medical record number is unavailable. The medical record number will be located by the in-house transcriptionist using the information provided in #6. 5. Press 2 to begin dictation 6. Dictate the following information: • Patient’s name (spelling of unusual names is very helpful) • Date of birth • Date of visit • Patient’s primary care physician, so the patient’s report can be faxed to the appropriate clinic. 7. Press 6 at any time during the dictation. You will hear a voice prompt that lets you know your dictation has been made a STAT. This is very important as it pushes your note to the top of the work pool where it can be found quickly and expedited. If you do not press 6, you run the risk that your not will not be faxed within a time frame to be helpful. Function keys are as follows: 2—start/stop record 3—short review 44—move to the end 5—disconnect 77—rewind to beginning 8—next report 8. After you finish your dictation press either 5 (disconnect) or 8 (move to the next report). These reports will be faxed to the appropriate clinics as soon as transcribed. 9
  10. 10. Guidelines to Improve Your Dictation to the Automated Speech Recognition System What sounds good to human ears is also easy to recognize… • Speak naturally • Articulate clearly, as you might when reading aloud • Do not over-enunciate • Speak at a normal pace and tone • Dictate Known Headings using the key words • Dictate commands o Next paragraph o New line o Next sentence • Dictate punctuation o Periods and commas are auto-inserted, but it is helpful if they are dictated. For parenthesis and quotes say “open” or “left” and “close” or “right”. • Dictate as little repetition as possible. As all spoken parts of dictation are recognized, the Medical Editor will spend time removing the repeated information. For example, “This is Doctor Smith dictating a report on patient Angela Jones, again that’s Doctor Smith dictating a report on patient Angela Jones.” Since the system is able to learn and adapt, there is no need to modify word sequence, instead focus on articulation. Date/Time Information Recognized Text: 03/02/1999 ( short date) Recognized Text: 03/02/99 (short date) Oh three oh two nineteen ninety-nine Oh three oh two ninety-nine Three two nineteen ninety-nine Three two ninety-nine Oh slash three slash oh two nineteen ninety-nine Oh slash three slash oh two ninety-nine Three slash two slash nineteen ninety-nine Three slash two slash ninety-nine Recognized Text: March 2, 1999 (long date) Two March nineteen ninety nine March second nineteen ninety nine March the second nineteen ninety nine March two nineteen ninety nine Second of March nineteen ninety nine Second March nineteen ninety nine The second of March nineteen ninety nine • Avoid excessive levels of background noise • Avoid Cell Phone Usage • Avoid dictating numerous reports on one call • Avoid Repetition Hesitations Ignored - Contractions Recognized – Periods and Commas Auto-Inserted 10
  11. 11. Dictation Examples and Recognized Results Time - use a series of two numbers: “two thirty-five p m” for text “2:35 p.m.”, or “fourteen thirty five” for military time, “14:35”. Range - “five to seven millimeters” recognized as “5-7 mm” Ratio - “one to one retrograde” or “epinephrine one to ten thousand” recognized as “1:1 retrograde” and “epinephrine 1:10,000” Enumerated Lists - “number one continue to monitor in the telemetry unit period number two recommend follow-up in two weeks period” recognized as: 1. Continue to monitor in the Telemetry Unit. 2. Recommend follow-up in two weeks. Units of Measure - “eleven point one centimeters by three point one centimeters” recognized as “11.1 cm x 3.1 cm”; “thirty six see sees” recognized as “36 cc”; “a two inch incision” recognized as “a 2-inch incision”. Blood Pressure - “one sixty three over seventy” will produce “163/70” Dosage -“Lasix forty milligram p o q a m” recognized “Lasix 40 mg p.o.q.a.m.” Age - “seventy nine year old male” recognized as “79-year-old male”. Same recognition results for “- month-old”, “-week-old”, “-day-old”. Catheters - “six French left Judkins four point oh bend and six French right Judkins four point oh bend” will produce “French left Judkins 4.0 bend and French right Judkins 4.0 bend” in the recognized text. Vertebrae Numbering - based on the region of the spine: “el three to four” or “el five through ess one” recognized as “L3-4” and “L5-S1,” respectively. Note, either “to” or “through” can be dictated for vertebrae ranges. 11
  12. 12. CURRICULUM VITAE FORMAT The following departmental format is used for your curriculum vitae and must be completed, as soon as possible, after your start date in the department. Your CV has to be updated yearly for evaluations. The document will be prepared and saved on the Department’s computer network. It is important to keep your CV current and you may want to format in a style that is consistent with the Tenure and Promotion process. ____________________________ CURRICULUM VITAE Date PERSONAL: Name: Department: Program: Present Rank: Business Address Business Phone: Home Address: Home Phone: Birth: (Place & Date) Marital Status: Children: EDUCATION: University Degree Date LICENSURE/CERTIFICATION (if applicable): State Number Date Issued EMPLOYMENT OR APPOINTMENTS: MILITARY SERVICE (if applicable): HONORS AND/OR AWARDS: Name of Honor and/or Award Place Awarded Date CONTRACTS AND GRANTS: Name Duration Value 12
  13. 13. CURRICULUM VITAE, Page 2 Name MAJOR CONSULTATIONS OUTSIDE THE UNIVERSITY: (These are not part of normally assigned duties. Include organization for which work was done, place and time it occurred.) PROFESSIONAL MEMBERSHIPS: (Include committee and organizational memberships, and offices held.) EDUCATIONAL ACTIVITIES: MEETINGS ATTENDED: PAPERS PRESENTED: PRESENTATIONS: PUBLICATIONS: 1. Books, sole author (Title, publisher, place of publication, date, no. of pages) 2. Books, co-author(s) (Title, publisher, place of publication, date, no. of pages) 3. Books, editor(s) (Title, publisher, place of publication, date, no. of pages) 4. Books, contributor or chapter(s) (Title, publisher, place of publication, date, no. of pages) 5. Monographs (Author, co-author(s), title, series of volume, publisher, place of publication, date, no. of pages) 6. Refereed publications (Author, co-author(s), title name of journal, bulletin, etc., volume, date, page citation) 7. Non-refereed publications (Author, co-author(s), title, name of journal, bulletin, etc., volume, date, page citation) 8. Reviews (Title of work reviewed, place of publication, date, page citation) 9. Miscellaneous (Title, place of publication, date, page citation) 10. Creative works (Exhibitions, commissioned works, audio/visual materials) PUBLICATIONS IN PRESS: 13
  14. 14. COMMITTEES AND MEETINGS Appointments and Functions: The Department Chair will appoint chairpersons and faculty members to various committees as necessary. Recommendations from the faculty are encouraged and will be taken into consideration in making committee appointments. The general function of committees is to study needs, procedures, and problems in specific areas and make recommendations to the Department Chair. Each committee shall have one person responsible for recording and distributing minutes. Minutes of meetings will be distributed to committee members, Department Chair, and Department Administrator. Departmental Committees: Faculty Meeting: Brief meetings are held on the fourth Tuesday of the month immediately following Grand Rounds. Quarterly retreats are also held, usually on a Tuesday beginning at 5:30 p.m. in L3-101 of the McKnight Brain Institute with dates to be determined. Faculty meetings include updates and announcements on department activities, billing compliance and coding issues and guest speakers, etc. Attendance at faculty meetings is required and may be considered in the faculty member's annual evaluation. E-mail reminders are sent to all faculty. Grand Rounds: Meets every Tuesday at 10:15 am in room E-336 of the VA. Attendance by clinical faculty is required. Grand Rounds providing CME credit will be separately announced. E-mail reminders are sent to all faculty members. NROC (Neurology Residency Overview Committee): Meets every second Tuesday of the month, at 7:30 a.m at the Small Conference Room, 3rd Floor MBI. This committee evaluates the overall progress of our Residency Program and discusses issues raised by Faculty members and Residents. Members are: Chairperson, Program Director, Faculty from all specialties (including Pediatric Neurology), Chief Resident, one Resident representative and the Residency Coordinator. 14
  15. 15. CONTRACTS AND GRANT PROCEDURES *As of 2/1/07 – ALL NIH and some non-NIH proposals will be submitted though “”. - This is an online portal which acts as an electronic review process that the National Institute of Health (NIH) and some non-NIH agencies are using as their initial procedure in receiving and potentially accepting your research proposal. In order to access, one must have the PureEdge Viewer Software. ** has 48 hours to review/approve/reject a proposal submission (after all internal reviews and signatures). If approved, they will send on to NIH or other agency who then have another 48 hours to review/approve/reject before the deadline. ***If either entity rejects the proposal for whatever reason, it starts back at our level for corrections and the time clock starts over. NIH website – This is the main link to NIH’s website. Here you can find program announcements, ALL the revised formatted form pages in MS word and PDF, and receipt dates. College of Medicine Research Office website - This is the link to College of Medicine’s Office of Research and Compliance (Dean’s office) research website with all the pertinent information re required internal documents needed BEFORE our Division of Sponsored Research (DSR) who is UF’s “business official” accepts the submission for review, signature, and sends out to the agency. The Office of Research and Compliance is located in Room M-134 of the Health Science Center (Ph# 273- 5398; Fax: 273-5387) College of Medicine Clinical Trials Compliance Office website - This is the link to College of Medicine’s Clinical Trial’s Compliance Office website with all the pertinent information required to submit clinical trials. Starting February 14, 2007, new documentation is required for all clinical trials being sent from the College of Medicine. There are training classes available on this website regarding the clinical trial compliance forms and procedures. In the future, clinical trials compliance classes will be mandatory depending on your role in clinical trials research. College of Medicine website link to NIH - This is another informative route to NIH through our Dean’s office. Division of Sponsored Research (DSR) website (also known as Research and Graduate Programs) – This is a detailed website of our business official’s pre and post award requirements, forms, fringe benefit rates, health insurance rates, and Graduate student stipends. DSR (proposal processing and awards) is located in Rm. 207 of Grinter Hall (Ph# 273-1582; Proposal Processing fax# 392-4400; Awards fax# 392-4522) 15
  16. 16. Institutional Review Board (IRB) - their website link is ; the general email account is and their phone # is 846-1494. This website provides a plethora of information for your IRB protocol submissions. Continuing Medical Education and Professional Development website – Their website link is and their phone number is 265-8081. This informative site lists meetings and regularly scheduled conferences. FYI Digest Newsletter - This a source of information which comes out bi-monthly (by hard copy or email) which lists some grant proposal opportunities as well as University of Florida research updates. It is requested that you contact Heather Chitty, Grants Specialist, as soon as you know you will be submitting a proposal through the Division of Sponsored Research at the University of Florida. By providing Heather with your funding agency's deadline and the types of assistance you need, she can organize and deploy departmental resources so that your proposal will be of optimal quality and to ensure that all required documents and approvals are obtained in time to meet submission deadlines. Beginning February 1, 2007, all grant type applications must go through the electronic process, and therefore, UF mandates more advanced lead time in reviewing and signing off on final versions of proposals than in prior years. In other words, "last minute" changes cannot be accommodated. To that end, Heather will require that your proposals be in final form (science inclusive) in the MS word format submitted to her 15 business days before the due date to the agency. This will allow her time to properly internally process your proposal submissions. Please contact Heather well ahead of the funding deadline. Not only do we need to consider the agency guidelines, but also the College of Medicine and the Division of Sponsored Research’s requirements, i.e., Disclosure of Conflict of Interest Forms, subcontract information with authorizing signatures, (if applicable), biosketches, Memorandums of Understanding, all chair and dean’s signatures from other departments and colleges and the VA (if applicable). We would also like to encourage all faculty who are writing proposals to request that one or more of your colleagues review a draft of your proposal before you finalize it. You can reach Heather Chitty at 273-5550 or at Please do not hesitate to contact her at anytime for questions and/or concerns. She is also willing to meet with you one on one to review contract and grant procedures at the convenience of your schedule. 16
  17. 17. The following pages are a general sample of what a Grants.Gov proposal will look like. 1. The first form - the SF 424 (R&R) is now the face page for most proposals. 2. All sections of your science are separated/sectioned out on the formatted pages into individual PDF files, e.g., SpecificAims.pdf is its own file. 3. All PDF files require “no spaces” in the title of each PDF file, e.g. Okunbiosketch.pdf 4. Headers and footers are no longer allowed in these PDF documents 17
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  27. 27. BIOGRAPHICAL SKETCH Provide the following information for the key personnel and other significant contributors in the order listed on Form Page 2. Follow this format for each person. DO NOT EXCEED FOUR PAGES. NAME POSITION TITLE eRA COMMONS USER NAME EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, and include postdoctoral training.) DEGREE INSTITUTION AND LOCATION YEAR(s) FIELD OF STUDY (if applicable) NOTE: The Biographical Sketch may not exceed four pages. Follow the formats and instructions on the attached sample. A. Positions and Honors. List in chronological order previous positions, concluding with your present position. List any honors. Include present membership on any Federal Government public advisory committee. B. Selected peer-reviewed publications (in chronological order). Do not include publications submitted or in preparation. C. Research Support. List selected ongoing or completed (during the last three years) research projects (federal and non-federal support). Begin with the projects that are most relevant to the research proposed in this application. Briefly indicate the overall goals of the projects and your role (e.g. PI, Co-Investigator, Consultant) in the research project. Do not list award amounts or percent effort in projects. 27
  28. 28. Principal Investigator/Program Director (Last, First, Middle): PI Name BIOGRAPHICAL SKETCH Provide the following information for the key personnel and other significant contributors in the order listed on Form Page 2. Follow this format for each person. DO NOT EXCEED FOUR PAGES. NAME POSITION TITLE Carlucci, Joseph Louis Professor of Microbiology eRA COMMONS USER NAME Carluccij EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, and include postdoctoral training.) DEGREE INSTITUTION AND LOCATION YEAR(s) FIELD OF STUDY (if applicable) Stanford University Ph.D. 1964 Infectious Diseases Harvard Medical School M.D. 1972 Medicine/Parasitology A. Positions and Honors. Positions and Employment 1969-1971 Medical Residency, Internal Medicine, Harvard Medical School 1971-1973 EIS Officer, Hospital Infection Section, Bacterial Diseases Branch, CDC, Atlanta, GA 1973-1974 Instructor and Fellow in Medicine, Hematology, Massachusetts General Hospital, Boston, MA 1974-1975 Instructor in Infectious Diseases, Massachusetts General Hospital, Boston, MA 1978- Senior Associate in Infectious Diseases, Children’s Hospital, Boston, MA 1978-1984 Assistant Professor of Pediatrics, Harvard Medical School 1985-1998 Chief, Hemostasis Laboratory, Children’s Hospital, Boston, MA 1993- Professor of Pediatrics, Harvard Medical School, Boston, MA 1998- Professor, Dept. of Infectious Diseases, Harvard School of Public Health Other Experience and Professional Memberships 1972-1973 Acting Chief, National Mucosal Infections Study 1975-2000 Director of Infectious Diseases Laboratory 1975-present Hospital Epidemiologist (Medical Director Infection Control 2000-present), Children’s Hospital, Boston 1981-1982 President, Society of Hospital Epidemiologists of America 1988 Member, Society for Pediatric Research 1989-present Medical Director Quality Assurance, Children’s Hospital, Boston, MA 1991-1993 Director, American Society for Microbiology, Division F 1991-1997 Hospital Infection Control Practices Advisory Committee, Centers for Disease Control 1998-present Vice-Chair for Health Outcomes, Dept. of Medicine, Children’s Hospital 1998-2001 Steering Committee, NACHRI/CDC Pediatric Prevention Network 28
  29. 29. Honors 1982 SERC Advanced Research Scholarship, Infectious Disease Society of America 2001 Anthony Steinway Award for Excellence in Teaching (Children’s Hospital) B. Selected peer-reviewed publications (in chronological order). (Publications selected from 133 peer-reviewed publications) 1. Luciani JM, Casper J, Goodman BF, Shaw CM, Carlucci JL. Prevention of respiratory virus infections through compliance with frequent hand-washing routines. N Engl J Med 1988 ;318:389-394. 2. Gussmann J, Pratt R, Sideway DG, Sinclair JM, Emmerson MF, Carlucci JL. Coagulase-negative staphylococcal bacteremia in the changing neonatal intensive care unit population. Is there an epidemic? JAMA. 1988;158:1548-1552. 3. Gussmann J, Carlucci JL, McGovern JE, Jr., Methodologic issues in nursing home epidemiology. Rev Infect Dis 1989;11:1119-1141. 4. Gussmann J, Emmerson MF, Smyth NE, Platt RI, Sidebottom DG, Carlucci JL. Early hospital release and antibiotic usage with nosocomial staphylococcal bacteremia in two neonatal intensive care unit populations. Amer J Dis Child 1991;149:325-339. 5. Murphy JA, Black RW, Schroeder LC, Weissman ST, Gussman JM, Carlucci JL, Short CJ. Quality of care for children with asthma: the role of social factors and practice setting. Pediatrics 1996;98:379-84. 6. Gussmann J, Carlucci JL, McGovern JE, Jr. Incidence of Staphylococcus epidermidis catheter-related bacteremia by infusions. J Infect Dis 1996;172:320-4. 7. Carlucci JL, Huskins WC. Control of nosocomial antimicrobial-resistant bacteria A strategic priority for hospitals worldwide. Clin Infect Dis 1997;S139-S145. 8. Corning WC, Saylor BM, O’Steen C, Gulapagos L, O’Reilly EJ, Carlucci JL. Hospital infection prevention and control: A model for improving the quality of hospital care in low income countries. Infect Control Hosp Epi. 1999;13:123-35. 9. Handler CJ, Marriott B, Clearwater PT, Carlucci JL. Quality of care at a children’s hospital: the child’s perspective. Arch Pediatr Adolesc Med. 1999;143:1120-7. 10. McKinney D, Poulet KL, Wong Y, Murphy V, Ulright M, Dorling G, Long JC, Carlucci JL, Piper GB. Protective vaccine for Staphylococcus aureus. Science 1999;214:1421-7. 11. Gulazzii L, Kispert ZT, Carlucci JL, Corning WC. Risk-adjusted mortality rates in surgery: a model for outcome measurement in hospitals developing new quality improvement programs. J Hosp Infect 2000;24:33-42. 12. Huebner J, Qui A, Krueger WA, Carlucci JL, Pier GB. Prophylactic and therapeutic efficacy of antibodies to a capsular polysaccharide shared among vancomycin- sensitive and resistant enterococci. Infect Inmmun 2000; 68:4631-6. 13. Levitan O, Sissy RB, Kenney J, Buchwald E, Maccharone AB, Carlucci JL. Enhancement of neonatal innate defense: Effects of adding an recombinant fragment of bactericidal protein on growth and tumor necrosis factor-inducing activity of gram-positive bacteria tested in vivo. Immun 2000;38:3120-25. 14. Garletti JS, Harrison MC, Collin PA, Miller CD, Otter D, Shaker C, Wren M, Carlucci JL, Makato DG. A randomized trial comparing iodine to a alcohol impregnated dressing for prevention of catheter infections in neonates. Pediatrics. 2001;127:1461-6. 29
  30. 30. 15. Corning WC, Barillo K, Festival MR, Lingonberry S, Lumbar P, Peters A, Pursons M, Carlucci JL, Tella JE. A national survey of practice variation in the use of antibiotic prophylaxis in heart surgery. J Hosp Infect. 2001;33:121-5. 16. Hoboken S, Peterson D, Graveldy L, Carlucci JL. Compliance with hand hygiene practice in pediatric intensive care. Pediatric Crit Care Med. 2001;12:211-214. 17. Hasker S, Pittoui D, Gray L, Zaruccii A, Potter G, Seemore MH, Carlucci JL. Interventional study to evaluate the impact of an antibiotic-infused hand gel in improving hand hygiene compliance. Pediatr Infect Dis J. Accepted for publication. 18. Lander C, Summers R, Murray S, Hummer CJ, Carlucci JL. Pediatrics: Is hospital food more nutritional than mom’s cooking? Pediatrics 2001;11: 140-145. C. Research Support Ongoing Research Support R01 HS35793 Carlucci (PI) 9/01/99-8/30/04 AHRQ Reducing Antimicrobial Resistance in Low-Income Communities: A Randomized Trial. This study is a randomized trial of interventions to reduce antimicrobial usage and resistance in low-income communities. Role: PI 2 R01 AI12345-05 Carlucci (PI) 4/01/01-3/31/06 NIH/NIAID Bacteriology and Mycology Study of ICU Patients at Risk for Antimicrobial Resistant Bacterial Infections. The study will perform clinical trials of interventions to reduce antimicrobial resistant infections. Role: PI R01- AI24680-04 Peterson (PI) 3/01/01-2/28/06 NIH/NIAID Virulence and Immunity to Staphylococci. This study investigates the production of polysaccharide by Staphylococcus aureus and its role in virulence as measured in animal models of infection and its ability to function as a target for protective antibody. Role: Paid consultant. 2 R01 HL 00000-13 Anderson (PI) 3/01/01-2/28/06 NIH/NHLBI Chloride and Sodium Transport in Airway Epithelial Cells The major goals of this project are to define the biochemistry of chloride and sodium transport in airway epithelial cells and clone the gene(s) involved in transport. Role: Co-Investigator 5 R01 HL 00000-07 Baker (PI) 4/1/01 – 3/31/04 NIH/NHLBI Ion Transport in Lungs The major goal of this project is to study chloride and sodium transport in normal and diseased lungs. 30
  31. 31. Role: Co-Investigator 1 R01 AI12826-01 Hoffman (PI) 9/28/01-9/27/03 NIH/NIAID Intermountain Child Health Services Research Consortium This consortium will seek to build pediatric health services research capacity and training in the Intermountain Region. Role: Co-Investigator Completed Research Support 5 RO1 AI10011-05 Herman (PI) 12/01/00 – 11/30/04 NIH/NIAID Evaluating Quality Improvement Strategies (EQUIS) The goal of this study was to evaluate quality improvement and collaborative learning to improve asthma care in office-based pediatrics. Role: Co-Investigator 5 R01 AI098765 Spielman (PI) 7/01/99 -6/30/04 NIH/NIAID Epidemiology of Emerging Infections #1 T32 AI07654 The goal of this project was to study emerging infections in high risk populations who are treated in emergency room situations. Role: Co-Investigator 31
  32. 32. Disclosure of Financial Conflict of Interest PROJECT TITLE DATE 8/5/08 As of October 1, 1995, new federal regulations require that the university manage, reduce, or eliminate any actual or potential conflicts of interest that may be presented by the compensated outside activities and other financial interests of persons involved in sponsored research projects funded by the Public Health Service (PHS) and the National Science Foundation (NSF). The primary purpose of the federal regulations is to prevent bias in the design, conduct, or reporting of research projects. Principal investigators and others working on projects funded by the PHS or the NSF must abide by these requirements. Any employee submitting a grant or contract proposal to the Public Health Service or the National Science Foundation through the university or conducting research or educational activities pursuant to such a federal grant or contract at the university as an “investigator” must report any “Significant Financial Interest” that would reasonably appear to be affected by the proposed or funded research activities, including interests maintained in entities that would be so affected. An “investigator” is defined as the principal investigator, co-principal investigator, or any other employee responsible for the design, conduct, or reporting the proposed or funded research or educational activities. For the purpose of determining a Significant Financial Interest, an “investigator” also includes an employee’s spouse and dependent children. A “Significant Financial Interest” refers to: salary or other payments for services, such as consulting fees and honoraria; equity interests, such as stocks and stock options; and intellectual property rights, such as patents, copyrights, and royalties. A Significant Financial Interest does not refer to salary or other remuneration from the university; income derived from seminars, lectures or teaching engagements sponsored by public or nonprofit entities; income derived from service on advisory committees or review panels for public or nonprofit entities; or salary, royalties or other payments that, when aggregated for the investigator and his or her spouse and dependent children, is not expected to exceed $10,000 over a 12 month period. An equity interest that, when aggregated for the investigator, spouse, and dependent children, does not exceed $10,000 and does not represent more than a five percent ownership interest in any entity is also not considered a Significant Financial Interest. Significant Financial Interest must be disclosed at the time of the submission of the proposal, but approval of the outside activities and financial interests (with conditions if warranted) need not occur until the project has been funded. The federal regulations also require that the disclosures be made annually during the course of the research, which is consistent with the university’s requirement that outside activities and financial interests be disclosed at the beginning of each fiscal year. The employee must file a new report if a new Significant Financial Interest is obtained, which is consistent with the university’s requirement that any material changes to outside activities and financial interests must be reported during the academic year. Review and approval or disapproval of the interests disclosed during the course of a research project must be accomplished within 60 days. The department chairperson (or supervisor) and the dean (or director) are responsible for reviewing each disclosure to determine if there is a conflict of interest. Under the federal regulations, if a Significant Financial Interest may directly and significantly affect the design, conduct, or reporting of the research a conflict will be deemed to exist. The university, through the department chairperson (or supervisor) and dean (or director), is required to manage, reduce or eliminate the conflict. Conditions that might be imposed in such cases include public disclosure of the conflict, modification of the research design, or monitoring of the research by independent reviewers. If adequate measures are not feasible, the employee may have to discontinue the compensated activities or divest himself or herself of the financial interest, or discontinue the research. The employee must abide by the conditions under which the research is permitted. For further information with regard to federal contract and grant requirements, please contact the Office of Research, Technology and Graduate Education at 392-1582. I declare that under the Federal Regulations described above: Please print your name under signature. I do not have a significant financial interest that would reasonably appear to be affected by the proposed research activities. Principal Investigator Co-Principal Investigator Key Personnel I do have a significant financial interest that would reasonably appear to be affected by the proposed research activities. Principal Investigator Co-Principal Investigator Key Personnel 32
  33. 33. NIH has revised its standard receipt dates as follows. Applications for Request for Applications (RFAs) and Program Announcements (PAs, PARs, PASs) with special receipt dates continue to be due on the specified dates listed in the FOA. For an application to be considered on time it must be received by by 5 p.m. local time for the applicant institution ( Receipt Receipt Receipt Cycle I Cycle II Cycle III Program Project Grants and Center Grants – all P January 25 May 25 September 25 Series (old date Feb. 1) (old date June 1) (old date Oct. 1) new, renewal, resubmission, revision* January 25 May 25 September 25 Research Grants – R10, R18, R24, R25 (old date Feb 1, (old date June1, (old date Oct. 1, new, renewal, resubmission, revision* March 1) July 1) Nov. 1) Research-Related and Other Programs – all S and G January 25 May 25 September 25 Series, C06, M01 (old date Feb. 1) (old date June 1) (old date Oct. 1) new, renewal, resubmission, revision* Institutional Ruth L. Kirschstein National Research September 25 January 25 May 25 Service Awards - T Series (Training)** (old date Sept. (old date Jan. 10) (old date May 10) new, renewal, resubmission, revision* 10) Research Grants - R01 February 5 June 5 October 5 new (old date Feb. 1) (old date June 1) (old date Oct. 1) Research Career Development – all K series Feb 12 June 12 October 12 new (old date Feb. 1) (old date June 1) (old date Oct. 1) Research Grants - R03, R21, R33, R21/R33, R34, R36 February 16 June 16 October 16 new (old date Feb. 1) (old date June 1) (old date Oct. 1) Academic Research Enhancement Award (AREA) - R15 February 25 June 25 October 25 new, renewal, resubmission, revision* (no change) (no change) (no change) Research Grants - R01 March 5 July 5 November 5 renewal, resubmission, revision* (old date March 1) (old date July 1) (old date Nov. 1) Research Career Development – all K series March 12 July 12 November 12 renewal, resubmission, revision* (Old date March 1) (old date July 1) (old date Nov. 1) Research Grants - R03, R21, R33, R21/R33, R34, R36 March 16 July 16 November 16 renewal, resubmission, revision* (old date March 1) (old date July 1) (Old date Nov. 1) New Investigator – R01 March 20 July 20 November 20 resubmission* for those applications involved in pilot (no change) (no change) (no change) ONLY Small Business Innovation Research (SBIR), Small Business Technology Transfer (STTR) Grants - R43, April 5 August 5 December 5 R44, R41 and R42 (old date April 1) (old date Aug. 1) (old date Dec. 1) new, renewal, resubmission, revision* Individual Ruth L. Kirschstein National Research April 8 August 8 December 8 Service Awards (Standard) – all F series Fellowships. (old date April 5) (old date Aug. 5) (old date Dec. 5) new, renewal, resubmission* Conference Grants and Conference Cooperative December 12 April 12 August 12 Agreements - R13, U13 (old date Dec. (old date April 15) (old date Aug. 15) new, renewal, resubmission, revision* 15) AIDS and AIDS-Related Grants May 1 September 1 January 2 ALL of the mechanisms cited above (no change) (no change) (no change) 33
  34. 34. * The move to electronic applications also has brought a change in terminology. The new terminology (included in the table above) corresponds to traditional NIH terms as follows: · New = new · Resubmission = a revised or amended application · Renewal = Competing Continuation · Continuation = Noncompeting Progress Report · Revision = Competing Supplement ** Institutional Research Training Grants (T32) are accepted by many NIH Institutes and Centers (IC) for only one or two of the dates. Applicants should contact the relevant IC for specific dates. At present NIH receives and processes applications for NIOSH and also for components of CDC that participate in the Omnibus Solicitation for Small Business Innovation Research grant applications.This notice applies only to these two groups of applications and not to other CDC submissions. The following resources continue to be available for assistance in the electronic submission of grant applications to NIH/AHRQ/NIOSH through General Information: 34
  35. 35. COMPUTER INFORMATION E-Mail Required Mergers, acquisitions, re-engineering and growth. The larger we become the more important it is to communicate with one another. E-mail accounts will be assigned by the UFBI IT staff along with your computer log in and password. Why is this necessary? Because we want you to be part of the team! E-mail has become a vital tool for convenient, expedient and economical communication. It’s convenient because you send and read messages at your leisure. It’s expedient because messages are (for the most part) delivered in a matter of seconds, and it’s as easy to notify the entire staff, as if it is a single recipient. It’s economical because we save staff time, we reduce the amount of wasted paper and the infrastructure (used for many other purposes) is already paid for. The University of Florida and the Department of Neurology require each employee to obtain, register and utilize an official E-mail account. Your official E-mail address must be within the UFL domain, meaning it must end with “”. UF Gatorlink accounts, Shands or Departmental MBI accounts all qualify. Personal E- mail accounts from third party Internet Service Providers (ISPs) cannot be used as your official business account, and official business accounts cannot be forwarded to personal E-mail accounts due to HIPAA privacy issues. For more information on HIPAA and E-mail policy, visit the Health Science Center Privacy Office website GatorLink Accounts Once the UF AUP has been signed the new employee will need to create a Gatorlink account through the self serve website GatorLink is an individual's computer network identity at the University of Florida. Every applicant, student, faculty and staff member is expected to have a GatorLink username and password. Your GatorLink ID and password allows you access to a variety of UF services. Services controlled by the GatorLink ID include the myUFL portal, CIRCA computer labs, E-mail, Internet dialup, UNIX services and use of the Health Science Center Library materials. All Neurology staff are required to have a Gatorlink account. To find out more about Gatorlink and to activate your Gatorlink account, visit The UF Portal - myUFL The UF portal, myUFL, has been in operation since March 31, 2003. The portal serves two main purposes. First, it serves as a focal point for internal communication at UF. This means that UF faculty, students and staff can get information about programs of interest to them, personalizing the content they receive. Second, the portal serves as a single point of entry for university on-line systems. The portal provides direct access to ISIS, the Integrated Student Information System; the ADMIN Menu, a collection of administrative applications; Enterprise Reporting applications; and GatorLink account management functions. The portal also provides UF employees with benefit, payroll and compensation information through the My Self Service link. In each case, the user signs on to the portal using their Gatorlink ID and then can access each of these systems without the need for additional authentication (sign on). To login, point your browser to 35
  36. 36. UF Directory aka Gatordex aka UF Phonebook and Privacy Issues All applicants, faculty, staff and students will have an entry in the UF Directory database. An individual may request that his/her directory information not be published. Students have a right to have all directory information removed from public areas by contacting the Office of the Registrar. UF employees may selectively limit published information by contacting their personnel office. Everyone is encouraged to publish his/her official E-mail address (see above), but UF policy states that it’s up to each individual. You may verify what information is being published by searching the UF Phonebook Staff are encouraged to regularly review and update their directory information if necessary. You may update your directory entry by signing into the myUFL portal (see above) and selecting “My Account” then “Update My Directory Profile”. Regardless of your decision to publish or not publish your UF Directory information to the Internet, the Department will publish and use your information internally. For more information on the UF Directory see HIPAA Privacy General Overview of Standards For Privacy of Individually Identifiable Health Information Taken from document: published December 3, 2002 by the Office of Civil Rights - HIPAA To improve the efficiency and effectiveness of the health care system, the Health Insurance Portability and Accountability Act (HIPAA) of 1996, Public Law 104-191, included “Administrative Simplification” provisions that required HHS to adopt national standards for electronic health care transactions. At the same time, Congress recognized that advances in electronic technology could erode the privacy of health information. Consequently, Congress incorporated into HIPAA provisions that mandated the adoption of Federal privacy protections for individually identifiable health information. All members of the UF workforce, including new faculty, employees, residents, volunteers, and appropriate students, and for business associates as needed, whether or not any of the listed individuals has contact with patients or protected health information (PHI) will be required to complete LEVEL 1: HIPAA General Awareness Training. New Employees: HIPAA 101A - Privacy and Security General Awareness Training Complete this training within five days after joining the workforce. Good for 12 months. Give the certificate to your supervisor or college/department administrator. Annual Review: HIPAA 102A - Annual Review & What's New For those who have completed UF's HIPAA 101 training in the past. NOTE: Even if you are not due for annual renewal at this time, you must complete this training module prior to April 15, 2005. Good for 12 Months. Give the certificate to your supervisor or college/department administrator. Additional levels of HIPAA training (Level 2 and Level 3) may be required depending on your job function. Refer to the UF Privacy Office web site for additional information In addition to annual HIPAA training, all employees must annually read and sign the Confidentiality Statement which will be kept in their personnel file. 36
  37. 37. Information Security - Security Program for the Information Computing Environment (SPICE) Background The UF Health Science Center (HSC) workforce creates, acquires, maintains and distributes information in various forms. Information resources, including data (both in electronic and non electronic form), software, devices, systems, and networks are all important assets supporting research, education, and clinical missions and administrative functions of our institution. The HSC recognizes its obligation to effectively secure and safeguard the information in terms of confidentiality, integrity and availability while allowing individuals to access and appropriately share information when needed. Toward this goal, the HSC has implemented, in close cooperation and collaboration with the UF Privacy Office, a number of administrative, technical, and physical safeguards to protect the Security and Privacy of the information. The Security Program for the Information and Computing Environment (SPICE) includes policies, standards and procedures that comply with federal security and privacy regulations, state law, and University of Florida IT security policies. Moreover, the Program provides the security basis in support of the Privacy policies and procedures. Finally, the Program provides guidance for creating a secure environment in which information is shared appropriately. Message from Dr. Douglas Barrett, Senior Vice President, Health Affairs Date: 21 Apr 2005 As members of the UF Health Science Center, we all have an obligation to safeguard the information created, acquired, maintained, and distributed in support of our academic missions and business functions. In response to this obligation, the UFHSC Security Program for the Information and Computing Environment (SPICE) was created from a collaborative effort of faculty and staff. SPICE includes policies and standards affecting all HSC faculty, staff, students, visitors and vendors. The program addresses the requirements of federal privacy and security regulations, state law, UF policies, and sound business practices relating to information security. Over the course of the last two years, over 60 faculty and staff from across the HSC worked to develop SPICE. The program includes information security policies and standards that together with existing privacy policies, support the confidentiality, integrity and availability of our information assets. SPICE has been approved for implementation. Under the direction of Jan van der Aa, Assistant VPHA for Information Services/CIO, a team of information security, training and communications staff will provide support for the program. The team is working with Unit Information Security Administrators and Managers (Unit ISAs and ISMs) from all HSC colleges and departments who are responsible for implementing the program in their units. Together with leadership and management they will assist their faculty, staff and students to protect information and data in all forms and locations. Each one of us (as faculty, staff or student) must take an active role in ensuring the security and privacy of our information. For further information visit the SPICE website at or contact Jan van der Aa at Douglas J. Barrett, M.D. Senior Vice President, Health Affairs University of Florida 37
  38. 38. Security Training Required for All Employees All UF HSC faculty, staff, students and volunteers are responsible for the security of information. The UF Health Science Center Security Program for the Information and Computing Environment (SPICE) provides a framework to ensure the confidentiality, integrity and availability of both electronic and non-electronic information. Everyone is required to follow ESSENTIAL SAFEGUARDS ( to secure our information. Make Information Security a part of your everyday routine. As of May 2006, all employees are required to complete “General Information Security Awareness Training”. Six modules may be viewed through the web This training is also available in PDF document form at the same location. Please notify Polly Glattli when you have completed this requirement. Biannual staff security training is required by Health Science Center security policy. Information Security – ISA and ISM Each unit is required to appoint an Information Security Administrator (ISA) and Information Security Manager (ISM). The ISA for our Department is Janet Kearney (273-5597). The ISM for our Department is Joe Schentrup (392-1024). All employees are required to familiarize themselves with the Security Program and complete annual security training The Neurology Home Page The Department of Neurology maintains a web presence at Many of the important URL’s mentioned above are easily located from the department’s home page. Departmental staff are encouraged to become familiar with our web site and to contribute web site content where appropriate by contacting the webmaster. UF Software CD The UF Software CD contains a collection of software to help UF faculty, staff and students access and use the Internet. The CD includes a variety of software including E-mail, telnet, file transfer, file compression and virus scanning applications for PC and Macintosh computers. The UF Software CD may be purchased for a nominal fee at the UF Bookstore Technology Hub or you may download the software from CIRCA If you wish to purchase the software, ask the staff at the Technology Hub if an educational discount is available. For information on UF site and volume licenses for many software titles visit UF Software Licensing Services at 38
  39. 39. EMERGENCY INFORMATION DATA Every person in the Department was asked to fill out an Emergency Information Data Form, when first employed in the Department of Neurology. In order to keep our information current, we are asking anyone who has had a change in information to complete a new form. Also, if you have not previously completed one of these Data forms, we would appreciate receiving the information at this time. Data forms are kept by Polly Glattli, 273-5551. 39
  40. 40. EMERGENCY INFORMATION DATA FORM Employee Name/Home Phone Home Address Spouse Name Spouse Business Phone Parent's Name/Address/Phone Please list those persons you wish to be contacted in case of emergency: l. Name Address Phone 2. Name Address Phone 3. Name Address Phone In case of accident or serious illness, do you want your personal physician called? If so, list Name , Telephone No. For corrections, please notify the Polly Glattli at 273-5551. Your cooperation in keeping our records current is greatly appreciated. 40
  41. 41. SUMMARY OF FRINGE BENEFITS CLINICAL & TENURED FACULTY The College of Medicine provides a broad and comprehensive fringe benefit program to eligible faculty members of the University of Florida. The Academic Enrichment Fund finances the program. The insurance programs are designed to protect against the economic effects of total disability, medical expense and death from accidental or natural causes. The retirement programs are planned to provide maximum financial security during retirement years. Eligibility Eligible participants for the Group Health, Life and Accidental Death and Dismemberment programs include the following employees who must be appointed at .50 FTE or above: Clinical M.D. and Clinical Ph.D. faculty, ranked Instructor/Lecturer and above and Associate and Assistant Deans and Vice Presidents as designated by the Fringe Benefit Committee, the Executive Committee, and the Dean of the College of Medicine, Visiting clinical M.D. or Ph.D. faculty, ranked Instructor/Lecturer and above, appointed for one year or more, and receiving other than OPS salary. Eligible participants for the Group Disability program include the following employees who must be appointed at .75 FTE or above: M.D. or Ph.D. faculty ranked Instructor/Lecturer and above, appointed in a clinical or basic science department, Visiting M.D. or Ph.D. faculty ranked Instructor/Lecturer and above appointed for one year or more, in a clinical or basic science department and receiving other than OPS salary. Eligible participants for Academic Enrichment Fund (AEF) Retirement Program include any full time, part time or visiting faculty member ranked Lecturer and above, who receive salary from the Academic Enrichment Fund. A biweekly employer contribution will be made to one or more of the approved annuity programs. The rate of contribution will equal the current Optional Retirement Program rate. The total annual contribution may not exceed the I.R.S. maximum. For employees hired after July 1, 1996, no retirement contributions will be made on annual compensation that exceeds limits established by federal law. Leave of Absence/Reduced FTE Eligibility Clinical faculty who have been employed by the College of Medicine for one year or more may continue all fringe benefit programs during an approved Leave of Absence, not to exceed one year during an aggregate seven year period. Approved leave of absences include partial disability, FMLA leave, Extension of FMLA leave, Educational Venture or Fellowship, with the recommendation and approval of the Chairman of the Department and signed by the Dean. A recommendation letter must be filed with the Office of the Dean. Upon approval, you will be covered for up to 12 months following the date your approved leave of absence begins. You may be covered for an additional six months of approved leave of absence, subject to the approval of the Dean of the College of Medicine and the insurance provider. Premiums to be paid by the Department. If you are on any other leave of absence, and if premium is paid, you will be covered through the end of the month that immediately follows the month in which you have used all of your accrued leave and vacation time. If you are on a temporary layoff, and if the premium is paid, you will be covered through the end of the month that immediately follows the month in which your temporary layoff begins. 41
  42. 42. Faculty appointed at no less than .75 FTE (30 hours) can retain health insurance, life insurance and long term disability if they pay their pro-rata share of the total monthly premium. Faculty appointed at .74 FTE and no less than .50 are eligible for the health program; the life insurance program with a reduced benefit of $100,000; the accidental death & dismemberment with a reduced benefit of $50,000. The employee is not eligible for long term disability. The employee will be responsible for payment of their pro rata share of the total monthly premium. If less than .75 FTE occurs due to partial disability, all benefits can be retained for a period of 24 months with costs incurred by the department, pending certification of the disability by the insurer. After the 24 months have occurred, the partially disabled employee will be eligible for the health plan; the life insurance benefit of $100,000; and the accidental death benefit of $50,000. The employee will be responsible for payment of their pro rata share of insurance premiums. When an employee returns to 1.00 FTE, full benefits will be restored. In the case of total disability, benefits will be as follows: The disability insurance will continue through the payment of benefits (waiver of premium after the elimination period of 180 days). The life insurance will be continued by waiver of premium, if approved, ** in the full benefit amount of $500,000. Health insurance may be continued through the annual/sick leave, a Leave of Absence and COBRA. An employee may choose to expend all leave balances and then request a Leave of Absence for one year. At the end of the Leave of Absence, under COBRA they will have the opportunity to continue health insurance for a maximum of 29 months. Health insurance will terminate at the end of annual/sick leave, a Leave of Absence or COBRA. If an employee has completed ten or more years of continuous service with the College of Medicine immediately before becoming disabled and was insured as an active employee, he or she may continue major medical insurance upon full time disability under the Post Retirement Health Plan. The policy will be the same as that provided for active employment. When a participant who is disabled becomes eligible for Medicare, the College group health plan will pay only as secondary carrier. The covered participant must pay the entire cost of the insurance. **"If approved" means that a disabled employee will be approved for a waiver of premium if he meets the requirements of disability for life insurance, (to meet the requirement an employee may not be capable of working in any occupation). Life Insurance Level term group life insurance underwritten by Unum Life Insurance Company provides $500,000 of life insurance for all covered employees with an additional $150,000 in the event of accidental death and dismemberment. A copy of your Plan Booklet is located on the Fringe Benefit website at Where discrepancies exist, the Master contract will apply. Coverage begins on the first day of employment. Life insurance premium paid by your employer for coverage over $50,000 is ordinary income to you. The cost of the group term life insurance coverage of more than $50,000 will be included in your income. Disability Insurance This policy is underwritten by Unum Life Insurance Company and is designed to offset the economic impact brought about by total or partial long-term disability. A copy of your Plan Booklet is located on the Fringe Benefit website at Where discrepancies exist, the Master contract will apply. The benefits as set forth under this policy will begin after the insured's sixth month of total or partial disability. The 42
  43. 43. maximum benefit period due to sickness is based on your age at the time of disability. The monthly income benefit is equal to 60% of the monthly salary to a maximum of $15,000 per month. There is no offset until benefits from Unum Life Insurance Company, Social Security, Worker's Compensation, the Teacher's Retirement System or any other group disability compensation exceed 70% of the monthly salary, in which case the Unum Life Insurance Company benefit is reduced to a level equal to 70% of the monthly salary. Cost of Living Adjustment rider is included. Comprehensive Group Health Plan The following is a brief description of your health plan. A copy of your Plan Booklet is located on the Fringe Benefit website at Where discrepancies exist, the Master contract will apply. It is your responsibility to notify the Fringe Benefit office of any changes in your family status. Humana Insurance Company underwrites and insures the College of Medicine group health plan. The plan provides coverage for the employee, the spouse of an eligible employee (unless legally separated or divorced), qualified domestic partner, unmarried children under age 19, unmarried children between ages 19 and to the end of the 25th year, who are dependent upon the insured for support and are either full time or part time students or who reside in the insured's household. Each insured individual is initially covered for a lifetime maximum amount of $5,000,000. The calendar year deductible is $1,000 per person/$2,000 per family. Co-insurance on covered expenses contributes towards the coinsurance stop-loss maximum. You will pay 20% coinsurance or a $25.00 co-pay per visit to a maximum of $2,500 per calendar year if you visit a Humana/ChoiceCare network provider. If utilizing a non-network provider, the coinsurance is stopped at $5,000 of covered eligible expenses, meaning that you are responsible for 40% and the plan will pay 60%. Charges are discounted according to agreements between the providers. No deductibles or coinsurance payments apply to covered inpatient stays at Shands Hospital facilities. Deductibles are waived for inpatient stays at network provider hospitals and covered charges are paid at 80% coinsurance. The calendar year deductible applies to inpatient stays at all other non-network hospitals and covered charges are paid at 60% coinsurance. You will also be responsible for the discounted non-eligible expenses. Covered lab and x-ray charges at Shands facilities are paid at 100%. Covered lab and x- ray charges by College of Medicine Faculty Practice Physicians are paid at 80% coinsurance; however, there is no member responsibility for visits to physicians' offices at Shands/UF or Shands/Jax. The UF Faculty Group Practice physicians will waive the deductible and coinsurance payments for covered charges. Deductibles and coinsurance payments will not be waived for non-covered charges. Physician visits to Network Providers are subject to a $25. co-payment for outpatient visits. Physician visits to all other providers are subject to the calendar year deductible and are paid at 60% coinsurance for eligible expenses. You are responsible for paying the non-eligible charges and those charges do not apply towards your total stop loss. Facility charges for Outpatient Surgery are not subject to the deductible and are paid at 100% at Shands Hospitals and 80% at Network Provider Hospitals. Facility charges for Outpatient Surgery performed at All Other Hospitals will be paid at 60% coinsurance. Emergency Room Visits at Shands Provider Hospitals are paid at 100%. Emergency Room Visits to all Hospitals and facilities including out of area emergency visits are paid at 80% coinsurance. Your benefits have cost containment features on mental illness and substance abuse, home health care, hospital preadmission tests, weekend hospital confinement, hospice care, birth center benefit, ambulatory surgical facility benefits, second surgical opinion. Outpatient Visits for Mental/Nervous Disorders and Substance Abuse are capped at 52 visits per calendar year and processed as in-network charges, requiring a $25 co-pay. Visits are limited for Physical, Speech and Occupational Therapy; charges are paid according to the same schedule as Outpatient Visits. Durable Medical equipment is available via in-network providers and is payable at 80%; out of network requires the deductible and will be payable at 80%. "Well Baby" and "Adult Well Person" care are included as a scheduled benefit and are payable, without deductible, at 80%. "Adult Well Care" is limited to $250 per Calendar Year. Pre-Certification is mandatory for in-patient hospitalization. Your prescription drug 43
  44. 44. plan allows you to purchase 30-day supply of prescription drugs at retail pharmacies. The retail price is $35.00 name brand drugs and $20.00 generic. Walgreens Healthcare Plus offers a mail-order pharmacy program. Mail order drugs (90-day supply) will require a $35 co-payment for brand name drugs and a $20 co-payment for generic drugs. Prescriptions written by an insured for self or any family members will not be reimbursable through the drug card nor regular plan benefits. C.O.B.R.A . If a covered employee or dependents' medical insurance terminates due to a Qualifying event (employment termination, work hours reduction, divorce/legal separation, Medicare entitlement, maximum age for child), they may continue their medical insurance under the Consolidated Omnibus Budget Reconciliation Act (C.O.B.R.A.). For additional information, contact Fringe Benefits/Gainesville at 352-273-5077 or Fringe Benefits/Jacksonville at 904-244-8531. AEF RETIREMENT PROGRAM This program is designed for those faculty members receiving salary from the Academic Enrichment Fund. The College contributes a percentage of the annual AEF salary to the annuity program(s) of the faculty member's choice. These programs are ING Financial Services, AIG Valic, Merrill Lynch, Fidelity Investments, Jefferson Life, Nationwide, Prudential, Met Life Investors, Smith Barney, and TIAA-CREF. The contribution is not subject to federal income tax until withdrawn. STATE OF FLORIDA OPTIONAL RETIREMENT PLAN Faculty members appointed in the College of Medicine are no longer eligible for the pension plan under the Florida Retirement System (FRS); they are only eligible for the Optional Retirement Program (ORP). All clinical faculties appointed after July 1, 1989 and who receive state salary are participants in ORP. The administrative cost of this plan will be paid entirely by the State through the University, although you may voluntarily contribute up to the same percentage of your earnings that is contributed to the ORP on your behalf. In addition to the annuity program described above, a variety of voluntary 403b annuity investment options are also available through State of Florida payroll deduction. Optional Retirement System (ORP): The University will contribute a percentage of your earnings so that you may purchase an annuity for your retirement. In the ORP, you are vested immediately. ORP benefits depend upon the performance of the program you select, but both fixed and variable plans are available. For additional information see the Human Resources website at Academic Enrichment Fund Salary: A contribution based on the Optional Retirement Plan rate will be made to the annuity of your choice from the numerous available programs. Please contact Janis Smith, in the Dean’s Office, 273-5077 for information on AEF Retirement Programs as soon as possible, if any portion of your salary is funded from AEF. VACATION LEAVE Full time faculty earn 6.769 hours of annual leave per pay period. Part time faculty earn a proportionate amount based on FTE. However, leave accrual is pro-rated proportionate to the amount of time in pay status during each pay period. This leave should be taken when it is necessary for a faculty member to be absent from assigned duties and responsibilities for reasons other than for illness. You may accumulate vacation leave throughout the year. However, any vacation leave hours over 480 that are not used by year-end will convert to sick leave at the end of the pay period in which December 31 fell. Hours converted will also include accruals 44
  45. 45. for that pay period. Upon separation from UF, you will be paid for up to 352 hours of any unused vacation leave. If you transfer to a leave-accruing position within the University of Florida, with no break in service, your vacation leave balance will be transferred to the new department. SICK LEAVE Full time faculty members earn four hours of sick leave for each biweekly pay period. Part time faculty accrue leave at a rate directly proportional to the percent of time employed. There is no limitation on total hours to be accrued. Sick leave must be earned before being taken. Additional information may be obtained from your department's business manager or administrator. If you separate from university employment because of retirement, termination in good standing, or death, after you have completed at least ten years of creditable service, you or your beneficiary will be paid for part of your unused sick leave credits. Unused sick leave credits are paid at the rate of 1/4 of unused credits earned, not to exceed an actual payment of 480 hours. If you transfer to a leave-accruing position within the University of Florida, with no break in service, your sick leave balance will be transferred to the new department. PROFESSIONAL LIABILITY INSURANCE Pursuant to Section 768.28, Florida Statutes, the University of Florida Board of Trustees is exclusively responsible for any civil claims or actions arising from the acts of its employees and agents. The UF BOT is protected for such liabilities by the J. Hillis Miller Health Center Self-Insurance Program (UF SIP), a self- insurance program managed by a governing council created by the Florida Board of Governors that is chaired by the Sr. Vice President for Health Affairs. As an employee of the University of Florida (UF), you are personally immune from civil liabilities which may arise from acts or omissions committed by you in the course of your employment. UF SIP affords you personal professional liability protection while you act as a Good Samaritan, while you are involved in community service work, which has been pre-approved by your college, or if you are on a job assignment outside of Florida. UF SIP also provides defense costs for certain licensure investigations by the Department of Health. If you have questions regarding professional liability, please contact the UF SIP Director at 352-273-7066. For more detailed information on Clinical Fringe Benefits, please visit the College of Medicine Fringe Benefits Office web site at: For more detailed information on University of Florida benefit benefits, please visit the Human Resources Services web site at: 45
  46. 46. FRINGE BENEFITS - ACADEMIC FACULTY (Ph.D.) All of the following items are listed at the present annual rate. Federal Withholding Tax, Old Age Retirement The employee's applicable portion of Federal (OAR), Medicare (MED), Workman's income tax, FICA, workman's compensation, Compensation, Unemployment Compensation and unemployment compensation is deducted from the biweekly salary. The department is assessed and pays the employer's share of “matching" Old Age Retirement (OAR) at 6.2% on salary up to $80,400 Medicare (MED) at 1.45% on total salary, workman's compensation 0.98% and unemployment compensation 0.12%. Florida State Retirement The department pays all of your Florida State Retirement contribution. 46
  47. 47. EXPENDITURES FOR SERVICES AND OTHER ITEMS Each year the department allows for $3,000 worth of FLEX costs. These may be funded from University of Florida Foundation funds, clinical income or other sources, depending on availability of funds. These funds may be used as deemed appropriate, as long as the expenditures provide a benefit to the University of Florida and support the departmental missions. In the years that mandatory license and board renewals are paid, those expenses will be charged to your FLEX allocation. FLEX funds also can be used to fund costs for things such as society memberships, travel, CME expenses, and books or journals. Board Fees For these items, it is requested that faculty pay any required fees personally and request reimbursement for the expense, with copies of checks and application forms. University of Florida College of Medicine faculty are exempt from paying the fee for DEA registration, but not exempt from registering. Professional Expense Reimbursement With prior approval of the Chairman, personal expenses incurred related to the conduct of departmental business can be reimbursed in accordance with state reimbursement policies. Such expenses might include meals, entertainment, etc. for visiting lecturers and prospective faculty employees and must have prior approval of the chairman. Submitting a Purchase Request Please note that before services are rendered or items purchased from outside vendors or auxiliaries (such as Medical Illustrations, Biomedical Media Services, bookstore purchases, dues, memberships, exams, etc.), requests must be submitted through the Fiscal Office. The attached Purchase Request form should be completed and submitted along with the supplier order form, price, and address to the Fiscal Office (273-5550). Any books purchased with departmental money, no matter what the source of the funds, become the property of the department and are to be left with the Department if and when the faculty member leaves. All book purchases by the department are to be ordered and received by the Fiscal Section and stamped with an appropriate "Property of" stamp. Capital Goods Capital goods (OCO) must be requested well in advance of the actual need. They will be included in the department's budget request and procurement prioritized upon allocation of funds. All computer purchases including laptops will continue to be reviewed and quoted by our Unit ISM, Joe Schentrup, prior to purchase to ensure the proper security configuration is planned in the purchasing order. All purchased laptops, handheld computers, and electronic media must be received by our IT department where the appropriate security controls will be configured before delivery to its intended user. 47
  49. 49. FACULTY LEAVE POLICY The following is the current annual and sick leave policy for University of Florida salaried faculty. Additional information is available from the Coordinator, Administrative Services or Office Manager. I. Annual Leave a. Twelve-month appointees shall earn annual leave at the rate of twenty-two working days (176 hours) for each full year of employment (6.769 hours per biweekly pay period). b. Annual leave for 12-month personnel shall be credited before being taken. Visiting 12-month faculty may not take accrued annual leave until the second year of employment. c. Employees with more than 44 days (352 hours) of annual leave at the end of year will have excess of the maximum (352 hours) converted to sick leave on January 1. d. Those appointed for 12 months, for less than 100% FTE will accrue annual leave on a basis directly proportionate to the FTE of their appointment. e. Upon transfer of 12 month faculty and administrative and professional employees in the university system to a position in another institution in the university system, up to 44 days of unused annual leave shall be received and credited by the new employing institution. f. At termination of employment for 12-month faculty and administrative and professional employees, lump sum payment for unused annual leave up to 352 hours. g. Nine-month faculty do not accrue and are not entitled to annual leave. II. Sick Leave a. Faculty and administrative and professional employees shall accrue sick leave at the rate of 4.0 hours per biweekly pay period, without limitation as to the total number that may be accrued. b. Sick leave may be used for personal disability due to sickness or injury or, in reasonable amounts, for absences resulting from the illness or injury of the faculty member’s immediate family. Extended leave of absences may qualify under the Family Medical Leave Act (FMLA). More information may be obtained at c. Nine-month and twelve-month faculty employed on other than a full-time basis will accrue sick leave on the same basis as outlined in I.d above. d. Upon transfer from one institution in the University system to a position covered by the plan in another institution, the full balance of unused sick leave will be received and credited by the new employing institution. 49
  50. 50. e. Upon resignation or termination, faculty completing ten year’s service will receive a lump sum payment for 25% of their accrued sick leave, up to a maximum pay out of 480 hours. Faculty employed prior to 1973 will receive payment for 1/8 of any remaining accrued sick leave accrued prior to 10/1/73. f. Full-time faculty and administrative and professional employees may join the University’s Sick Leave Pool. This pool may enable faculty and staff to draw upon a collective pool, after approval from the sick leave pool committee, in instances where they must use all of their sick and annual leave, in the event of catastrophic illness or injury. Eligibility requirements and enrollment information can be found at the University’s web site, III. Professional and Educational Leave Faculty, chairs and professional employees who have administrative positions may be granted up to 160 hours (20 business days) of educational/professional leave per year (July - June) for travel related to professional activities, as per approval policy of their department or unit. Leave may be used for continuing medical education, meetings which enhance your knowledge in your field, or for giving presentations, workshops, national committee meetings, etc. The College of Medicine has reaffirmed the policy that was passed in 1996 limiting professional travel to up to 20 business days per year, at the discretion of the chairs. All professional leave must be approved in advance by the chair. This policy provides the chair with the discretion to approve the number of days a faculty member can travel for attendance at professional meetings and any exceptions to the maximum 20 business days rule. Exceptions for professional activities of regional and national importance may be granted by the department chair or dean as appropriate, with prior written consent. This policy exists to ensure that faculty members with clinical responsibilities can attend to those responsibilities and prevent frequent and inconvenient clinic rescheduling. We must be able to provide patients with access to providers and ensure that there is no negative effect on our fiscal expectations. We encourage faculty with numerous invitations to be more selective in order to ensure availability throughout the year to potentially more prestigious events. Compensation for Administrative/Professional Leave Faculty will receive full pay for approved leave. Professional leave may be granted for participation in educational activities at other universities and educational organizations. Professional leave will not be granted for outside business and medicolegal activities. For these later activities, annual leave must be taken. Honorarium Under the law, the term “honorarium” means a payment of money or anything of value to an employee (or to any other person on his or her behalf) for a speech or other oral presentation, whether presented in person, via broadcast or recorded, or a “writing,” other than a book, which is to be or is intended to be published. The term does not include payments for services related to outside employment or ordinary salary payments for services related to the employee’s public duties, nor does the term honorarium include the payment of reasonable transportation, lodging, and food and beverage expenses for the employee and the employee’s spouse related to an honorarium event. 50