Author: Fearney, Kimberly

Student Athlete Name, Image, Likeness, Policy On

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Title: Student-Athlete Name, Image, and Likeness, Policy On
Policy Owner: University Athletics
Applies to: All Student-Athletes and University Employees
Campus Applicability: All Campuses
Effective Date: June 30, 2021
Last Review Date: May 2, 2022
For More Information, Contact Director of Athletics
Contact Information: (860) 486-2725
Official Website: https://uconnhuskies.com/sports/2021/7/14/uconn-nil-information

PURPOSE

To establish a policy pursuant to which University of Connecticut (“University”) student-athletes are permitted by the University to (1) earn compensation through an endorsement contract or employment in an activity unrelated to an intercollegiate athletic program; and (2) obtain legal or professional representation of an attorney or sports agent through a written agreement, provided that in each case, the student-athlete complies with the terms and conditions of this policy and applicable law.

APPLIES TO

All student-athletes and University Employees.

DEFINITIONS

Athletics booster means a person who directly contributes to a University athletic program.

Compensation means the receipt, whether directly or indirectly, of any cryptocurrency, money, goods, services, other items of value, in kind contributions and any other form of payment or remuneration.

Endorsement contract means a written agreement under which a student-athlete is employed or receives compensation for the use by another party of such student-athlete's person, name, image or likeness in the promotion of any product, service or event.

Intercollegiate athletic program means a program at the University for sports played at the collegiate level for which eligibility requirements for participation by a student-athlete are established by a national association for the promotion or regulation of college athletics.

NCAA means the National Collegiate Athletic Association or its successor.

Official team activities means all games, practices, exhibitions, scrimmages, team appearances, team photograph sessions, sports camps sponsored by the University and other team-organized activities, including, but not limited to, photograph sessions, news media interviews, and other related activities as specified by the University.

Prohibited endorsements means receipt of compensation by, or employment of, a student-athlete for use of the student-athlete's person, name, image or likeness (“NIL”) in association with any product, category of companies, brands, or types of endorsement contracts that are: (1) prohibited by law; (2) prohibited by this policy; or (3) prohibited under the applicable University procedures adopted in accordance with this policy.

Sports agent means a duly licensed person who negotiates or solicits a contract on behalf of a student-athlete in accordance with the Sports Agent Responsibility and Trust Act, 15 USC 7801, et seq., as amended from time to time.

Student-athlete means a student enrolled at the University who participates in an intercollegiate athletic program.

University marks means the name, logo, trademarks, mascot, unique colors, copyrights and other intellectual property or defining insignia of the University.

POLICY STATEMENT

The University shall permit its student-athletes to (1) earn compensation through an endorsement contract or employment in an activity unrelated to an intercollegiate athletic program and (2) obtain legal or professional representation of an attorney or sports agent through a written agreement, provided that the student-athlete complies with this policy and applicable law.

I. Agreements for Representation by a Sports Agent or an Attorney

    1. A student-athlete may only enter into an agreement for representation with a sports agent if the student-athlete submits a copy of the agreement to the University.
    2. A student-athlete may only enter into an agreement for representation with an attorney if the student-athlete submits a copy of the agreement to the University.

II. Endorsement Contracts and Agreements for Employment Activities

A student-athlete may only enter into an endorsement contract or agreement for other employment activities if:

    1. the student-athlete discloses the existence of the agreement to the University;
    2. the student-athlete submits a copy of the agreement to the University prior to the student-athlete performing any activity or service under the agreement;
    3. the agreement, or any portion thereof, does not conflict with the provisions of any agreement to which the University is a party. In the event that a potential conflict is identified, the University shall disclose to the student-athlete or the student-athlete's attorney or sports agent the provisions of the University agreement that are in conflict; and
    4. the student-athlete is not required to participate or engage in any activity prohibited by Section III of this policy.

 III. Prohibitions

    1. Student-athletes are prohibited from using or consenting to the use of any University marks when performing any services or activity associated with an endorsement contract or employment activity without prior written permission from the University or its authorized designee.[1]
    2. Student-athletes are prohibited from performing any service or activity associated with an endorsement contract or employment activity that interferes with any official team activities or academic obligations.
    3. University employees are prohibited, in their individual capacity, from entering into endorsement contracts with any student-athlete or otherwise providing compensation themselves to a student-athlete in return for NIL services.
    4. University employees, students, and athletic boosters are, to the extent required under NCAA rules, prohibited from creating or facilitating NIL compensation opportunities for prospective student-athletes as a recruiting inducement or current student-athletes as an inducement to remain enrolled at the University.
    5. Student-athletes are prohibited from receiving compensation from, entering into an endorsement contract with, and/or otherwise engaging in an employment activity with companies, brands, products, conduct, and/or entertainment prohibited under University procedures adopted in accordance with this policy.

IV. Procedures

University of Connecticut Student-Athlete’s Name, Image, and Likeness Procedures

ENFORCEMENT
Violations of this Policy or associated procedures may result in appropriate disciplinary measures in accordance with state law, University Laws and By-Laws, and Division of Athletics Student Athlete Handbook.

POLICY HISTORY

Policy created effective June 30, 2021 [Approved by the Board of Trustees]

Revisions: May 2, 2022 [Approved by President’s Senior Policy Council]

[1] In accordance with Connecticut law, the University is prohibited from providing any student with written permission until July 1, 2022.

[2] This prohibition extends to communication with family members and others affiliated with prospective students.

Network Access Policy

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Title: Network Access Policy, Information Technology
Policy Owner: Information Technology Services / Chief Information Security Officer 
Applies to: All students, faculty, staff, volunteers, and contractors  
Campus Applicability: All campuses except UConn Health 
Effective Date: August 30, 2021
For More Information, Contact UConn Information Security Office 
Contact Information: techsupport@uconn.edu or security@uconn.edu 
Official Website: https://security.uconn.edu

PURPOSE 

The University invests significantly in maintaining a secure network that meets the academic, research, residential, and administrative needs of the institution. To ensure compliance with applicable Federal and State laws and regulations, and to protect the campus network and the ability of the University community to use it, certain security, performance, and reliability requirements must govern the operation of these networks. 

APPLIES TO 

This policy applies to all University faculty, staff, students, student employees, volunteers, and contractors who have access to university networks. 

DEFINITIONS  

University Network: The university network is comprised of the network hardware and infrastructure and the services to support them, from the data jack or wireless access point to the University’s Internet Service Provider’s (ISP) connection. The university network begins at the connection to the network (wired or wireless) and ends where we connect to the Internet. 

Wired Network:  The wired network consists of the physical cabling, infrastructure, and management systems that provide physical network access via an ethernet or fiber optic cable. 

Wireless Network:  The wireless network consists of the access points (connected to the wired network), wireless spectrum, and management systems that provide services via the UConn provided wireless networks, including UConn Secure, Guest, EDUROAM, and other specialty networks. 

POLICY STATEMENT  

The University network (wired & wireless) is an essential resource for the University of Connecticut students, faculty, staff, and guests. The University network provides a variety of critical services that meet the academic, administrative, research and residential needs of the University. Due to the complex nature of the University’s network, Information Technology Services (ITS) is responsible for the overall design, installation, coordination and operation of the University’s network environment. 

Wired Networks 

  • The wiring and electronic components of the network are deemed part of the basic infrastructure and utility services of the University. Installation and maintenance of that network are to be considered part of the “up front” basic required building and renovation costs and are not considered discretionary options in construction and renovation design. 
  • Standards for the network wiring, electrical components, and their enclosures are defined by Information Technology Services (ITS), subject to Building and Grounds (B&G) oversight and are considered part of the University’s “building code” to which installations must conform. 
  • Upgrades to our campus network will be done as part of a university-wide Network Master Plan.  This Network Master Plan will be coordinated with the University’s Building Master. 
  • Units that would like to use their own funding to install wired/wireless technology or change the programmatic function or use of a room to newly include a wired/wireless activity must work directly with ITS Network Engineering for design services and standards requirements. ITS Network Engineering will thereby ensure that all changes to the wired network conform to applicable standards. 
  • Units choosing to install and establish their own security using local firewalls and/or VPNs must give ITS Network Engineering and Information Security access to/through these devices into the active network segments. This will give Network Engineering the ability to see beyond the secure points of the network for diagnosing problems potentially affecting the overall network. 
  • Units wishing to design, install and maintain their own network must have their designs reviewed by ITS Network Engineering. All installations must conform to the standards set forth in the ITS Design Guide and Standards. Before equipment is purchased, the requesting entity must submit technical specifications of the equipment to be used in the project, along with the logical and physical design maps, for ITS approval to ensure network compatibility and service conformance. ITS Network Engineering will provide the department with an approval letter, which can be submitted to Purchasing with the purchase request. 

    Wireless Networks 

    • The addition of new wireless access points on the University network must be coordinated and approved by ITS.  Wireless performance is impacted by the architectural features, building materials, and furnishings of a contemporary workspace.  Construction and renovation projects must be coordinated with ITS and include funding for additions or adjustments required to optimize performance and serviceability of impacted wireless access points and systems. 
    • On an exception basis, departments and individual faculty may install and manage wireless access points for specific programmatic needs. These locally administered wireless access points must be registered and coordinated with ITS prior to deployment to prevent radio frequency (RF) interference on either wireless network.  At least one individual in the requesting department must be designated as the official contact for the access point.  The official contact is responsible for the data and network traffic that traverses through the access point and appropriate access control and security configuration, as well as the regular maintenance, software updates, and replacement. 
    • Any devices either not part of or that cause significant RF interference with the University wireless network will be considered a “rogue” access point or device.  ITS will pursue all reasonable efforts to contact the owner of the rogue device, and if necessary, may disable or disconnect them from the University network. This includes devices and equipment that operate in the frequency ranges occupied by the University Wi-Fi network. 

    ENFORCEMENT 

    Violations of this policy may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the Student Code.  

    Questions about this policy or suspected violations may be reported to any of the following: 

    Office of University Compliance –  https://compliance.uconn.edu (860-486-2530) 

    Information Technology Services Tech Support –  https://techsupport.uconn.edu (860-486-4357) 

    Information Technology Services CIO – https://cio.uconn.edu  

     

    POLICY HISTORY 

    Policy created:  This policy replaces the Wireless Network Policy (05/15/2006) and Physical Network Access Policy (11/18/2008). Approved by President’s Senior Team 8/30/2021. 

     

    Vendor Code of Conduct

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    Title: Vendor Code of Conduct
    Policy Owner: President’s Committee on Corporate Social Responsibility
    Applies to: Others
    Campus Applicability:  Storrs, and Regional Campuses
    Effective Date: January 9, 2013
    For More Information, Contact Director of Contracting and Compliance
    Contact Information: (860) 486-5898
    Official Website: http://www.csr.uconn.edu/

    The University of Connecticut (“UConn”) has a longstanding commitment to the protection and advancement of socially responsible practices that reflect respect for fundamental human rights and the dignity of all people. UConn strives to promote basic human rights and appropriate labor standards for all people throughout its supply chain. Promoting these values in concrete practice is the central charge of the President’s Committee on Corporate Social Responsibility (http://csr.uconn.edu/).

    UConn is also committed to  building a safe, healthy and sustainable environment through the conservation of natural resources, increasing its use of environmentally responsible products, materials and services (including renewable resources), and preventing pollution and minimizing waste through reduction, reuse and recycling. UConn is proactive about purchasing products that have these environmental attributes or meet recognized environmental standards, when practicable, and buying from entities committed to the support of campus sustainability goals.  The University seeks to partner and contract with vendors that demonstrate a similar commitment to these values. Selected vendors may be required to provide a comprehensive summary report of their corporate social and environmental practices.

    Principal Expectations

    The principal expectations set forth below reflect the minimal standards UConn’s vendors are required to meet.

    Nondiscrimination. It is expected that vendors will not discriminate in hiring, employment, salary, benefits, advancement, discipline, termination or retirement on the basis of race, color, religion, gender, nationality, ethnicity, alienage, age, disability or marital status, and will comply with all federal nondiscrimination laws and state nondiscrimination laws[1], including Chapter 814c of the Connecticut General Statutes (Human Rights and Opportunities), as applicable, and further will provide equal employment opportunity irrespective of such characteristics, including complying, if applicable, with Federal Executive Order 1124b, and the Rehabilitation Act of 1973.

    Freedom of Association and Collective Bargaining. It is expected that vendors will respect their employees’ rights of free association and collective bargaining, including, if applicable, complying with the National Labor Relations Act, and, if applicable, Chapters 561 and 562 of the Connecticut General Statutes (Labor Relations Act, Labor Disputes) and Chapters 67 and 68 of the Connecticut General Statutes (State Personnel Act, Collective Bargaining for State Employees).

    Labor Standard Regarding Wages, Hours, Leaves and Child Labor. It is expected that vendors will respect their employees’ rights regarding minimum and prevailing wages, payment of wages, maximum hours and overtime, legally mandated family, child birth and medical leaves, and return to work thereafter, and limitations on child labor, including, if applicable, the rights set forth in the Federal Fair Labor Standards Act, the Federal Family and Medical Leave Act, the Federal Davis-Bacon Act and Chapters 557 and 558 of the Connecticut General Statutes (Employment Regulation, Wages).

    Health and Safety. It is expected that vendors will provide safe and healthful working and training environments in order to prevent accidents and injury to health, including reproductive health, arising out of or related to or occurring during the course of the work vendors perform or resulting from the operation of vendors’ facilities. Accordingly, it is expected that vendors and their subcontractors will perform work pursuant to UConn contracts in compliance with, as applicable, the Federal Occupational Safety and Health Act and Chapter 571 of the Connecticut General Statutes (Occupational Safety and Health Act).

    Forced Labor. It is expected that vendors will not use or purchase supplies or materials that are produced using any illegal form of forced labor.

    Harassment or Abuse. It is expected that vendors will treat all employees with dignity and respect, and that no employee will be subjected to any physical, sexual, psychological or verbal abuse or harassment.  It is further expected that vendors will not use or tolerate the use of any form of corporal punishment.

    Environmental Compliance. It is expected that vendors will comply with all applicable federal and state environmental laws and Executive Orders, including but not limited to Titles 22a and 25 of the Connecticut General Statutes (Environmental Protection and Water Resources protection) and Executive Order 14 (concerning safe cleaning products and services). UConn expects vendors will employ environmentally responsible practices in the provision of their products and services.

    Preferential Standards

    The preferential standards set forth below reflect UConn’s core values. UConn will seek to uphold these values by considering them as relevant factors in selecting vendors.

    Living Wages. UConn recognizes and affirms that reasonable living wages are vital to ensuring that the essential needs of employees and their families can be met, and that such needs include basic food, shelter, clothing, health care, education and transportation.  UConn seeks to do business with vendors that provide living wages so as to meet these basic needs, and further recognizes that compensation may need to be periodically adjusted to ensure maintenance of such living wages.  Vendors are encouraged to demonstrate that they pay such living wages.

    International Human Rights. For UConn, respect for human rights is a core value.  UConn seeks to do business with vendors who do not contribute to or benefit from systemic violations of recognized international human rights and labor standards, as exemplified by the Universal Declaration of Human Rights.

    Foreign Law. UConn encourages vendors and vendors’ suppliers operating under foreign law to comply with those foreign laws that address the subject matters of this code, provided such foreign laws are consistent with this code. Vendors and their suppliers operating under foreign law are similarly encouraged to comply with the provisions of this code to the extent they can do so without violating the foreign law(s) they operate under.

    Environmental Sustainability. UConn will prefer products and services that conserve resources, save energy and use safer chemicals, such as recycled, recyclable, reusable, energy efficient, carbon-neutral, organic, biodegradable or plant-based, in addition to products that are durable and easily reparable, and that meet relevant certification standards above and beyond those required by law. While UConn is not legally bound to comply with Connecticut General Statutes 4a-67a through 4a-67h concerning environmental sustainability standards in purchasing, it will nevertheless consider vendors’ ability to meet those standards in rendering its purchasing decisions. Vendors are encouraged to demonstrate their commitment to environmental sustainability.

    Compliance Procedures

    Anyone who believes a vendor doing business with UConn has not complied or is not complying with this code may contact the University’s REPORTLINE at 1-888-685-2637 or https://uconncares.alertline.com/gcs/welcome.  The REPORTLINE is operated by a private (non-University) company. No effort is made to identify the person reporting and no trace of the call is performed. Information received is given to the Office of Audit, Compliance and Ethics, who will evaluate the concerns raised and, if necessary, refer the matter to the most appropriate University office for review.

    The Office of University Compliance has the authority to investigate such matters, and if warranted, recommend remedial action to the UConn administration.

    [1] Wherever this code refers to compliance with federal or state laws, that term includes compliance with any regulations duly promulgated pursuant to such laws.

    Policy Created: January 7, 2013 (Approved by the President’s Cabinet)

    Revised: July 14, 2015

    University of Connecticut Age Act Committee: Policy and Procedures

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    Title: University of Connecticut Age Act Committee: Policy and Procedures
    Policy Owner: University of Connecticut Age Act Committee
    Applies to: Students, Faculty, Staff, Graduate Assistants
    Campus Applicability: Storrs and Regional Campuses
    Effective Date: November 1, 2019
    For More Information, Contact Office of Institutional Equity
    Contact Information: (860) 486-2943
    Official Website: https://www.equity.uconn.edu
    Click here to view a PDF, Printer Friendly copy of this policy.

    University of Connecticut Age Act Committee: Policy and Procedures

       

      I. Purpose and Scope: The University of Connecticut has established an “Age Act Committee” to evaluate a student’s request for access to or participation in any University program when that student’s age may impair the University program’s ability to meet its objectives as carried out under its normal operation. This document sets forth the operational framework for that Committee. These Policy and Procedures apply to all programs, services and activities that fall under the purview of the University of Connecticut at the Storrs and Regional campuses.

      II. Definitions:
      A. “The Age Act” means The Age Discrimination Act of 1975, codified at 42 U.S.C. §6101, et seq. along with its implementing regulations, found at 34 C.F.R. §110, et seq.
      B. “The Age Act Coordinator” means the University Official responsible for overseeing compliance with the Age Act and for investigating allegations of age discrimination. The University’s Age Act Coordinator is:

      Sarah Chipman
      Office of Institutional Equity
      Storrs: Wood Hall, First Floor
      UConn Health: Munson Road, Third Floor
      sarah.chipman@uconn.edu
      (860) 486-2943

      C. “The Age Act Committee Submission Form” is the form to be used by University Officials to submit a concern about a student’s access to or participation in any University program or activity based on that student’s age.
      D. “The Committee” means the Age Act Committee, as designated by the Office of the Provost.
      E. “Age Act Committee Chair” means a member of the Committee designated by the Provost as Chair.
      F. “Normal Operation” means the operation of a program or activity without significant changes that would impair its ability to meet its objectives.
      G. “Student(s)” means a student admitted by or enrolled at the University of Connecticut, as defined in UConn’s Responsibilities of Community Life: The Student Code.
      H. “University” means the University of Connecticut.
      I. “University Official” means any person employed by the University of Connecticut in an administrative, supervisory, academic, research or outreach, or support staff position (including law enforcement unit personnel and health staff).

      III. Policy Statement: The University By-Laws provide, in pertinent part, that “No organization or group shall discriminate against or exclude a person because of race, religion, national origin or other protected class recognized by state or federal antidiscrimination laws, on that land owned or operated by the University of Connecticut…”. By-Laws of the University of Connecticut, Article XV, § A. Similarly, in accordance with the provisions of the Age Discrimination Act and other Federal and State laws and executive orders pertaining to civil rights, the University prohibits discrimination on the basis of age (see Policy Against Discrimination, Harassment and Related Interpersonal Violence).

      This policy is intended to provide the same protection against discrimination afforded under the parallel anti-discrimination laws. Therefore, analysis of a student’s age discrimination claim under them thus mirrors the analysis of a claim under the Age Discrimination Act of 1975, 42 U.S.C. §§ 6101-6107, and its corresponding regulations, 34 C.F.R., Part 110. Subject to certain limited exceptions, the Age Discrimination Act mandates that “no person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under, any program or activity receiving [f]ederal financial assistance.” 42 U.S.C. § 6102. Exceptions to the Age Act’s general prohibition against age discrimination include: a) age distinctions contained in federal, state or local statute or ordinances (34 C.F.R. § 110.2); b) reasonable actions “based on a factor other than age” (34 C.F.R. § 110.13); and c) actions that reasonably take into account age as a factor necessary to the normal operation or the achievement of any statutory objective of such program or activity (34 C.F.R. 110.12).

      Charged by the Office of the Provost, the Age Act Committee is responsible for addressing concerns about students’ access to or participation in any University program, service or activity based on age.

      IV. Age Act Committee Procedures
      A. Establishment of Committee:
      i. Members of the Age Act Committee, including its chairs, shall be designated by the Office of the Provost and serve three (3) year terms. Members may be reappointed upon the end of their term.
      ii. The Committee shall include one representative from each of the following units: Division of Enrollment Management, Honors Program, Division of Student Affairs, and Office of Institutional Equity as well as a member of the faculty with expertise in human development or a related field. Members from additional offices may be appointed at the discretion of the Office of the Provost.
      iii. This Policy and Procedures and the Age Act Committee Submission Form shall be available on the Office of Institutional Equity’s website.

      B. Deliberative Process for Assessing Role of Age in University Activity, Program or Service:
      i. Quorum Required: All Committee members share responsibility for the Committee’s decisions and are expected to fully participate in its decision-making processes. In order for the decision of the Committee to be valid, a majority of Committee members must take part in the deliberative process. The Committee shall attempt to reach its decision by consensus. In the event the participating Committee members cannot reach consensus, the outcome will be decided by a simple majority. Committee members should recuse themselves from a particular inquiry in the event they feel they may be unreasonably biased for any reason. The Provost may designate an alternate member in the event that a member elects to be recused from a case.
      ii. Timeline: The Committee should complete its investigation and issue a decision no later than forty-five (45) calendar days from the original date of submission. Should the need arise, the Committee shall expedite its process as necessary to allow the student’s full participation in the program, service or activity, if approved, provided the Committee determines meeting the expedited timeframe does not unreasonably impair its deliberative process.

      iii. Submission of Inquiry:
      1. Any University Official may raise a concern about a student’s access to or participation in any University program, service, or activity based on that student’s age. In order to do so, the University Official may submit an Age Act Committee Submission Form, available on the Office of Institutional Equity’s website, to the Office of Institutional Equity.
      2. Upon receipt, an Age Act Committee Chair will schedule a preliminary phone conference with the individual submitting the form to gain a better understanding of the circumstances giving rise to the inquiry. The objective of the conference is to collect enough information to address concerns about a student’s access to or participation in the subject University program, service, or activity based on age. Therefore, during the phone conference, the Age Act Committee Chair will seek to obtain as much information about the situation, including but not limited to the following:
      a. A list of all other individuals (including University Officials) involved and the scope of their involvement;
      b. The location and relevant dates and time;
      c. The purpose and nature of the program, service, or activity;
      d. A general understanding of the day-to-day workings of the program, service, or activity;
      e. The deadline by which an answer from the Committee is required and the circumstances necessitating that deadline;
      f. A list of third-party contractors that might be involved, their role and contact information; and
      g. Any other information the Committee may need to carry out its inquiry.

      3. The Age Act Committee Chair shall forward a copy of the Age Act Committee Submission Form to the Department Head/Program Director listed to provide them notice of the ongoing review and to solicit any additional relevant information this individual may have.

      4. The Age Act Committee Chair shall work with the Committee to designate the Committee member who will serve as the “Recorder” for this particular inquiry. The Recorder is the individual responsible for taking and maintaining all documentation related to the particular request. All information maintained by the Recorder shall be considered in draft form until reviewed and approved by the other Committee members, at which point it becomes a final, official record of the Committee (“Final Record”).

      iv. Fact-Gathering:
      1. After the preliminary phone conference, the Committee shall identify the list of individuals with whom to speak (“Knowledgeable Parties”) and the appropriate order in which to meet with them to gain the best understanding of the relevant circumstances and, using the list, schedule a meeting with each Knowledgeable Party accordingly (“Consultation”).
      2. In addition, the Committee shall also identify and obtain any additional documentation that might further its understanding of the situation, which may include but not necessarily be limited to third-party contracts, program regulations, mission statements, information from previous years, etc. The Committee may also identify and carry out any additional interviews that might further its understanding of the situation, including but not limited to interviews with the student and University faculty and staff.
      3. Each Consultation shall include, but not be limited to, the following questions to the extent relevant to that Knowledgeable Party’s role:
      a. What is the nature of the “normal operation” of the program, service, or activity?
      b. What are the stated objectives of the program, service, or activity?
      c. Can the student be admitted to the program, service, or activity without significant changes? Changes are significant if they impair the objectives identified in (iv)3b, above.
      d. What characteristics must participants possess in order to ensure the normal operations of the program, service, or activity and why?
      e. Can the presence of these characteristics be reasonably approximated by the use of age? Is it impractical to measure these characteristics on an individual basis?

      v. Individualized Deliberation: Taking into account the information collected from all available sources, and considering the goals/objectives of the program, service, or activity at issue, the characteristics participants must possess in order to ensure preservation of the Normal Operation of the program, service, or activity, whether the presence of these characteristics can be reasonably approximated by the use of age and/or whether it is impractical to measure these characteristics on an individual basis, the Committee shall make a final, reasoned and deliberative determination with respect to the use of age as a proxy for other characteristics necessary to the normal operation of the program or activity at issue.

      Limiting access or participation will only be appropriate in those circumstances where the student’s age would require changes to the normal operation of the program, service, or activity and such changes would impair the program, service or activity’s ability to meet its stated objectives (as defined by the Knowledgeable Parties, or where other age-based distinctions and/or factors to be considered, other than age, are permitted by the Age Act. If the student’s age necessitates reasonable modifications that would not significantly impair the program, service or activity’s ability to meet its objectives, age will not be a reasonable basis upon which to exclude the student.

      The Committee shall use the following analysis:
      a. The Committee will gain an understanding of the Normal Operation of the program, service, or activity. In doing so, it will identify the goals/objectives of the program, service, or activity.
      b. The Committee will gain an understanding of and identify the characteristics participants must possess in order to ensure preservation of the Normal Operation of the program, service, or activity and why these characteristics are needed.
      c. The Committee will identify whether the presence of these characteristics can be reasonably approximated by the use of age and/or whether it is impractical to measure these characteristics on an individual basis.
      vi. Decision: Following its investigation and deliberations, the Committee shall make one of the following determinations:
      1. The student’s age would impair the University program, service, or activity’s ability to carry out its Normal Operation, in which case the student may be denied participation;
      2. Age-based concerns could be alleviated with changes that would not impair the ability of the program, service, or activity to meet its objectives, in which case the student will not be denied participation; or
      3. The student’s age will not impair the ability of the program, service or activity to meet its objectives, in which case the student will not be denied participation.

      vii. Response: The Committee must provide a response no later than forty-five (45) days after the original request. If the Committee determines that the student’s age would not impact the University program, service, or activity’s ability to carry out its Normal Operation, it will inform the University official who submitted the request via email, copying in the supervisor and Age Act Coordinator (or designee).
      If the Committee determines that the student’s age would impact the University program, service, or activity’s ability to carry out its Normal Operation and no reasonable modifications can be made without altering its objectives, it shall inform the student via email of the decision, copying in the original requestor, supervisor, and Age Act Coordinator (or designee). This notification shall also provide the student with notice of the University’s grievance procedures for prompt and equitable resolution of complaints alleging violations of the Age Act, as well as external reporting options.

      V. Additional Standards
      A. Documents created during or as a result of these meetings that directly identify a student are “education records” as defined by FERPA and thus, are subject to review by the student to whom they pertain, and protected from unauthorized disclosure.
      B. Documents created during or as a result of these meetings that do not directly identify any students may be “public records” under the Connecticut Freedom of Information Act, and thus may be subject to public disclosure.
      C. Upon conclusion of an inquiry, the Committee shall retain Final Records for 5 years after the original inquiry, in compliance with Connecticut State Record Retention Schedule S1-330 (Planning Studies).
      D. The Committee shall review these policies and procedures every five years to ensure compliance with federal and state laws and institutional needs.

      VI. Grievance Procedures:
      A. Complaints of Age Discrimination may be filed internally, at the Office of Institutional Equity (OIE), by calling (860) 486-2943, by writing to OIE at the University of Connecticut; Wood Hall, 1st Floor, Unit 4175; 241 Glenbrook Road; Storrs, CT 06269-4175 or by emailing OIE at equity@uconn.edu.
      B. Students also have the right to file a complaint with the Office of Civil Rights, within 180 days from the time the incident occurred at Office for Civil Rights, U.S. Department of Education; 8th Floor, 5 Post Office Square; Boston, MA 02109-3921.

      Policy Created: December 7, 2011
      Revised: July 7, 2014; November 1, 2019

      Acceptance and Disposal of Textbook Donations, Policy on

      Posted on by
      Title: Acceptance and Disposal of Textbook Donations, Policy on
      Policy Owner: Office of the Provost
      Applies to: Faculty, Staff
      Campus Applicability:  All University Campuses, including UConn Health
      Effective Date: October 12, 2011
      For More Information, Contact Office of the Provost
      Contact Information: (860) 486-4037
      Official Website: http://provost.uconn.edu

       

       

      Introduction:
      It is understood that from time to time the publishers of academic textbooks and related materials may provide free copies to faculty or staff for their use. Under State of Connecticut and University of Connecticut ethics policies, these free materials may not be accepted as personal property and should instead be accepted as property of the University. The eventual disposal of free textbooks and related materials is subject to University policy.

      Purpose:
      The purpose of this policy is to delineate the appropriate acceptance and eventual disposal of gift textbooks and related materials.

      Scope:
      This policy applies to all faculty and staff of the University of Connecticut and the University of Connecticut Health Center.

      Definitions:
       Prohibited Donor: Registered lobbyists or a lobbyist’s representative; Individuals or entities doing business with or seeking to do business with the University; or Contractors pre-qualified by the Connecticut Department of Administrative Services.

      Published: the reproduction of a textbook or related materials through print, digital, or other media, including but not limited to, standard printed texts and e-books.

      Related materials: documents or other media used to supplement or in any other way support a textbook in the teaching and study of a subject.

      Textbook: a book published and used in the teaching and study of a subject.

      Policy:
      Under State of Connecticut and University of Connecticut ethics rules, faculty and staff are prohibited from personally accepting a free textbook or related academic materials from prohibited donors if the value of the item(s)  is more than $10.00.  Most publishers offering free textbooks would fall under the definition of a prohibited donor.

      As permitted under state and University rules, a free textbook or related academic materials valued at more than $10.00 may be accepted as property of the University.

      When a free textbook and/or related academic materials are deemed out-of-date or are otherwise no longer in active use, they may not be removed from the University for personal use. These items may be donated with the approval of the appropriate Dean or through the University Libraries “Disposal of Materials Policy” by donating them to the Library.

      Policy History

      Effective October 2011 (Approved by the President’s Cabinet)

      Voluntary Leave and Schedule Reduction Policy

      Posted on by
      Title: Voluntary Leave and Schedule Reduction Policy
      Policy Owner: Human Resources
      Applies to: Faculty, Staff
      Campus Applicability:
      Effective Date:  January 23, 2009
      For More Information, Contact Human Resources
      Contact Information: (860) 486-3034
      Official Website: http://www.hr.uconn.edu/

      Overview:

      The State has legislated a Voluntary Schedule Reduction Program in which participation is entirely voluntary, subject to the approval of the agency’s appointing authority. The Legislative Regulation Review Committee approved the final Regulations on March 19, 1996. Employees who participate will receive time off without pay, but will continue to receive health insurance and other benefits in accordance with their collective bargaining agreement. Human Resources will not approve requests if the services need to be replaced during the period of leave. Employees may not substitute voluntary leave for medical leaves.

      Plan Options:

      Classified Employees:

      (Administrative & Residual; AFSCME Social and Human Services and Administrative Clerical; CEUI Maintenance; CSEA  Engineering & Scientific; Protective Services; 1199 Health Care Workers)

      A.  Sporadic Days Off – pre-scheduled, non-sequential days off (Friday and Monday are NOT considered to be sequential

      B.  Work Schedule Reductions – – the University will not approve requests for schedule reductions to a previously negotiated workweek (e.g., 35 or 37.5 hours).    Examples of possible work schedule reductions for full-time employees are:

      • 4 day workweek (20% reduction)
      • 4 days a week with each day extended, but not equaling a full week’s schedule
      • 9 days per pay period (10% reduction)
      • Mornings or afternoons off (50% reduction)

      Unclassified Employees: (AAUP, UCPEA, Managerial/Confidential)

      A. Sporadic Days Off – pre-scheduled days off less than one week at a time.

      B. Work Schedule Reduction:

      • 4 day workweek (20% reduction)
      • 4 days a week with each day extended, but not equaling a full week’s schedule
      • 9 days per pay period (10% reduction)
      • Mornings or afternoons off (50% reduction)

      C. Leave of Absence without Pay – unpaid leave from 1 to 24 weeks at a time.

      D.  Educational Leave – 3 or more months without pay to participate in an educational program.

      Eligibility:

      Any permanent state employee may apply for participation in the Voluntary Schedule Reduction Program. A permanent employee is one holding a position in the classified service under a permanent appointment or one holding a position in the unclassified service who has served in such a position for more than six months.

      Application Procedure:

      1. An employee submits a completed application to his/her supervisor. The supervisor reviews the application, noting the impact on departmental operations, and either approves, modifies or denies the request, sending it to the Department of Human Resources for a final decision.  Should the supervisor be unable to approve the request because of departmental needs, he/she may discuss possible alternatives (if any) with the employee. If no alternative is possible, the supervisor will indicate on the form the reason the request cannot be granted. Since approvals are entirely at management discretion, denials are not grievable.
      2. Applications should be submitted to Human Resources at least two weeks in advance of the desired leave, and should include starting and ending dates, dates of individual leave days (if sporadic), and the number of hours of leave requested. The use of accrued time or compensatory time earned and accumulated pursuant to the provisions of any  collective bargaining agreement or to an order of the Commissioner under Section 5-200(p) of the Connecticut General  Statutes is not a condition precedent to being granted a schedule reduction under these regulations.
      3. A schedule reduction will not be granted if it would result in an employee falling below the threshold for eligibility for health insurance benefits, less than half time.
      4. The program will operate by the fiscal year (July 1st through June 30th), so the requested dates on each application should fall within those dates.

      Changes to Approved Applications:

      In the event of a change of plans, employees on a voluntary schedule reduction should apply for a modification. The new application should be marked “REVISED” and routed in the same manner as the original request.

      Benefits and Status:

      An employee whose application is approved shall be entitled to benefits as follows:

      Health and Life Insurance:

      During the period of any approved leave or work schedule reduction, an employee’s health and life insurance will continue on the same basis as before the leave or schedule modification. The employee must contribute, on an on-going basis, that portion of the premiums that would normally have been payroll-deducted.

      Seniority and Longevity:

      An employee shall receive all seniority credit and the full longevity benefit without regard to the leave or reduced work schedule. (Longevity payment to an employee on leave shall be paid in accordance with Regulations 5-213-1)

      Vacation and Sick Leave Accruals:

      • An employee on a reduced work schedule shall continue to accrue vacation and sick leave at the same rate as prior to the schedule reduction and shall not lose accruals for any month as a consequence of a schedule reduction.
      • An unclassified employee who takes a leave of absence without pay shall continue to accrue vacation, if applicable, for up to two months subject to any accrual maximums in the collective bargaining agreement. An employee who takes a leave of absence for more than two months will cease accruing vacation time after the first two months. In order to be eligible for payment of these accruals, an employee must be reinstated from the leave for at least two months.

      Holidays:

      An employee on a schedule reduction shall be granted time off with pay for any legal holiday which falls on a day when he would otherwise have been scheduled to work. If an employee is required to work on a holiday, he/she shall be granted a day off in lieu thereof.  If a holiday falls on a day when an employee would not have been scheduled to work as a result of a schedule reduction, he/she shall receive pro-rata holiday credit at the percent of his/her scheduled weekly hours.

      Examples:  If 4th of July falls on a Friday:

      1. Employee reduces schedule to a 4-day workweek, with Monday’s off and recieves full pay for holiday on Friday (not to exceed the number of hours in a regular work day
      2. Employee reduces schedule to a 4-day workweek, with Fridays off, receives 80% credit – based on percentage of time worked on the reduced schedule – (recorded as earned time), since he/she was not scheduled to work on Fridays.

      *An unclassified employee who takes a leave of absence without pay (Option C) will not receive pay for any legal  holiday falling during the leave.

      Workers’ Compensation:

      Any benefits to which an employee is entitled under Worker’s Compensation Statutes shall not be affected by a schedule reduction.

      Retirement:

      As of June 8, 1994, an employee shall receive full credit towards retirement for voluntary leave only when it totals 22 work days, whether it be for sporadic days off, work schedule reduction or blocks of time. Employees shall not be required to contribute any sums for that credit. Each accumulation of 22 days of voluntary leave will equal a calendar month of retirement credit. Note that voluntary leave which totals less than 22 working days will not be credited towards retirement.

      Employees may direct their inquiries about retirement credit for voluntary leave taken before June 8, 1994 to a retirement specialist at (860) 486-0413.

      Overtime:

      Overtime payment during a schedule reduction will continue according to the employee’s collective bargaining agreement or Section 5-245 of the Connecticut General Statutes. Calculations of overtime payment will not include schedule reduction hours as time worked.

      Initial or Promotional Probationary Employees:

      1. An employee in an Initial Working Test period is not eligible to participate.
      2. Days off which are taken as a result of this program will not be counted toward the completion of a Promotional Working Test period.

      Questions may be addressed to the Leave Administrator, Department of Human Resources at (860) 486-3034.

      Use of Students in Outside Employment

      Posted on by
      Title: Use of Students in Outside Employment
      Policy Owner: Office of University Compliance
      Applies to: Faculty, Staff
      Campus Applicability: All Campuses, including UConn Health
      Effective Date: July 14, 2015
      For More Information, Contact Office of University Compliance
      Contact Information: (860) 486-2530
      Official Website: https://compliance.uconn.edu/

       

      Background and Reasons for the Policy: The Code of Ethics for Public Officials preclude public employees from accepting other employment which will impair the employee’s independence of judgment or otherwise create a conflict of interest.

      Purpose of Policy: To provide guidance on the employment of students by faculty and staff for work external to the University.

      Expected Institutional Outcome: Compliance with the Code of Ethics.

      Applicability of Policy: All employees.

      Policy Statement: Pursuant to Connecticut General Statute Section 1-84(b) of the Code of Ethics for Public Officials, a state employee may not accept other employment which will impair his/her independence of judgment as to his/her official duties or employment.  Furthermore, in accordance with Connecticut General Statute Section 1-86 and the Regulations of Connecticut State Agencies Section 1-81-29, a state employee with a potential conflict of interest must inform his/her supervisor who shall assign the matter to another who is not subordinate to the individual with the conflict.

      Potential conflicts may occur when a University employee hires a student in any non-University supported activity. Therefore, employees who choose to employ students in any non-University activity must obtain written approval from their Department Head/Dean/Director prior to employing the student. Faculty members who wish to hire a graduate student and who teach a course in which the student is enrolled, serve as a member of the student’s thesis or dissertation committee, or serve as the student’s advisor or the director of his or her thesis or dissertation research must also receive written approval from the Dean of the Graduate School.  The University requires that each student receive a written offer of employment with a specific scope of work or job description, the rate of compensation and the expected hours of work.  In addition, the student should receive a fair market value rate of pay.

      Students have on-going recourse to the Provost who will consult with the Dean of the Graduate School (for graduate students) or the Vice Provost for Academic Affairs (for undergraduate students) in order to address any grievances that may arise during the term of the employment.

      Failure to comply constitutes a violation of the State ethics code and University policy and is subject to disciplinary procedures of both.

      Responsibilities: All employees.

      Use of Students in Outside Employment Letter Template

      History

      Revised: 07/13/2015; 12/16/2014; 06/23/2008

      New Policy: 03/01/2004

      Surplus Property Policy and Procedures

      Posted on by
      Title: Surplus Property Policy and Procedures
      Policy Owner: University Business Services, Surplus Department
      Applies to: Faculty, Staff
      Campus Applicability: All campuses except UConn Health
      Effective Date: June 7, 2021
      For More Information, Contact UConn Surplus Department
      Contact Information: (860) 486-3094
      Official Website: http://www.surplus.ubs.uconn.edu/

      PURPOSE

      To establish the authority of the Surplus Department to administer the University’s property distribution program for the disposition of assets deemed surplus to operating needs in accordance with Federal Uniform Guidance regulations and Connecticut State statutes. This includes the authority to establish and maintain processes and procedures for the proper inventory control of the University’s tagged assets.

      APPLIES TO

      Faculty and staff of the University of Connecticut, Storrs and Regional Campuses. This policy does not apply to the deaccession of objects held by University Collections.

      BACKGROUND

      Proper disposition of State of Connecticut assets is required pursuant to Section 4a-57a of the Connecticut General Statutes. The University of Connecticut has the authority to disposition surplus, unused and/or unserviceable equipment and supplies in compliance with C.G.S. 4a-57a. The University of Connecticut Surplus Department (“the Surplus Department”) is responsible for administering the University’s Surplus Program and is authorized to make the determination regarding the disposition of items that are no longer utilized by University departments.

      Effective July 1, 2018, Uniform Guidance (2 CFR §200) regulations apply to both the purchase and disposal of assets purchased by Principal Investigators (“PI’s”) using federal grant funds. Pursuant to the Guidelines for Surplus & Equipment Share Opportunities, the terms and conditions of grants may set forth specific requirements for the acquisition of equipment . Further, 2 CFR OMB part 200 Uniform Guidance 200.318 lays out the requirements for equipment purchases with federal funds. The rationale for these regulations is that shared use of existing equipment promotes availability of equipment on university campuses, reduces unnecessary duplication of equipment, and frees up federal funds to further the aims and objectives of the award. For more information, download Guidelines for Surplus & Equipment Share Opportunities.

      DEFINITIONS

      Assets: Items or equipment that are deemed either Capital, Controllable, or Non-controllable and owned by the University. Assets can be tangible including cash, investments, etc.

      Capital Equipment: Tangible, non-expendable, personal property having an anticipated life of one year or more with a unit acquisition cost of $5,000 or greater. Equipment is capitalized and depreciated on the University’s financial statements. Capital equipment includes, but is not limited to, lab and scientific equipment, furniture, tools and machinery, office and IT equipment, motor vehicles and boats, musical instruments, audio-visual equipment, athletic/fitness equipment and artwork.

      Controllable Property Assets: Have a unit acquisition cost under $5,000 and are sensitive, portable, and theft-prone nature. This includes ALL computers (desktops, laptops, iPads, and Notebooks) and cell phones and may also include other types of equipment such as audiovisual equipment, televisions, projectors, communication equipment, data processing equipment, computer peripherals, scanners, and cameras.

      Non-Controllable Assets: Non-electronic and electronic items with a cost under $5,000 that are not tagged or tracked as controllable property. When a department is ready to surplus non-controllable assets, which may include items such as office chairs or desks, they must enter the items into the asset tracking software to be processed by the Surplus Department.

      POLICY STATEMENT

      The Surplus Department shall make determinations regarding the best disposition of items based on condition and whether the item(s) may be reissued to another department, transferred to another state agency, placed in the Public Surplus Store, or donated to a nonprofit organization. Under no circumstances shall University property be discarded without proper disposition through the University’s inventory control and disposition software program.

      The disposition of items acquired with grant funds must be performed in accordance with applicable federal regulations, sponsor requirements, and University policies. The Principal Investigator (PI) is responsible for assuring compliance with the specific requirements set forth by the sponsoring agency, federal regulations, and university policies.

      ENFORCEMENT
      Violations of this policy or associated procedures may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, and applicable collective bargaining agreements.

      PROCEDURES/FORMS
      The Surplus Department uses the Asset Panda software program to streamline the surplus process and track all the University’s tagged assets. Departments declaring items as surplus must move the items from “active” to surplus within the Asset Panda Software. Items that are not in the Asset Panda Software require the departments to add the surplus items into the software prior to submission as surplus. The Asset Panda software then transmits the information to the Surplus Department for review and processing.

      University departments shall comply with the following procedures in order to properly send items to the Surplus Department (by category):

      • COMPUTERS: CERTIFICATION OF DATA INACCESSIBILITY: Due to increased vulnerability to the potential misuse of personal information stored electronically, before sending computers/electronic media to Surplus, all stored electronic data must be permanently destroyed. Departments must complete a Certification of Data Inaccessibility Form stating this process has been completed. The completion of the certification form is necessary to comply with confidentiality and copyright laws. Both steps must be completed before the Surplus Department can remove computers/electronic media.

      Employees/Departments may not purchase computers/laptops/electronics directly from university departments. This includes cell phones and wireless devices. All computers/laptops/electronics must be processed through Surplus when an individual/department no longer needs the item.

      • REFRIGERATION UNITS: Before sending refrigeration units to the Surplus Department, departments must enter a work order with Facilities Operations for removing refrigerants from the unit(s). The removal is required per state and federal environmental regulations and ensures the safety of ground water and the ozone. Departments must forward proof of the work order number with the entered item before the Surplus Department will schedule pickup.

      • MOTORS: Before sending motors to the Surplus Department, departments must submit a work order to Facilities Operations for removing oils from the motors. The removal is required per state and federal environmental regulations and ensures the safety of ground water. Departments must forward proof of the completed removal with the entered item before the Surplus Department will schedule pickup.

      The Surplus Department will attempt to remove those items intended for transfer to the Surplus Department items within two (2) weeks from the receipt of the Asset Panda entry. Departments wishing to remove their own items for Surplus must schedule an appointment with the Surplus Department. Under no circumstances can any item of property belonging to the University of Connecticut be scrapped or destroyed without approval by the Associate Director of Supply Chain or the Manager of the Surplus Department.

      The Surplus Department will determine whether those item(s) sent to them will be recycled or made available to faculty, staff, or other state agencies through the surplus program.
      Most items made available for use by other University departments may be inspected at the Surplus Showroom, located at 6 Ahern Lane, Mansfield Depot, CT. Showroom hours are posted on the Surplus Department website. Employee identification must be shown in order to obtain surplus items.
      University departments may obtain surplus property and must provide their 7-digit Kuali (KFS) number for the items to be transferred to their respective department. The Surplus Department will deliver transferred items, if necessary, to University departments within two (2) weeks from the transfer date.
      After 30 days, surplus items not transferred to other departments are eligible for alternate disposition methods as determined by the Surplus Department:

      A. Public Sale Items: May be offered for public sale through the auction process or at a storefront location.
      B. Other State Agencies: Representatives from other agencies of the State of Connecticut may visit the Surplus Property Showroom or the storefront location to obtain University surplus items. Payment can be made with a State of Connecticut Transfer Invoice, Form CO-608. Other State agencies are responsible for transportation of transferred property.
      C. Scrap Items: May be scrapped, either through the existing University recycling program, or by other processes. Items designated as scrap may not be given away to any University employee or to any other interested party.

      REFERENCES

      Code of Federal Regulations Title 2, Subtitle A, Chapter II, Part 200
      Connecticut General Statutes § 4a-57a. (Distribution of surplus state property)
      Surplus Department Contact & Showroom Hours
      University Policy: Sponsored Award Closeout
      University Guidelines for Surplus & Equipment Share Opportunities
      Asset Panda Request and Training

      POLICY HISTORY

      Policy created effective: 2004
      Revisions: 2014; June 7, 2021 [Approved by President’s Cabinet]; editorial revisions July 26, 2021

       

      Reimbursement of Recruitment Expenses Policy and Procedures

      Posted on by
      Title: Reimbursement of Recruitment Expenses Policy and Procedures
      Policy Owner: Committee formed by the Office of the Provost
      Applies to: Faculty
      Campus Applicability:  All Programs at all Campuses except UConn Health
      Effective Date: August 7, 2013
      For More Information, Contact Workforce Solutions/ Office of the Provost
      Contact Information: (860) 486-3034
      Official Website: http://hr.uconn.edu/

      Reason for Policy

      The University recognizes the competitive nature of the recruitment and hiring process, and, therefore, grants departments the flexibility to pay for or reimburse recruitment expenses for faculty or management-exempt administrator positions.

      The hiring process consists of three phases: the interview phase, the offer and acceptance phase, and the move phase. The interview and offer and acceptance phases constitute the recruitment process.  For expenses incurred in connection with the move phase, please see the Reimbursement of Moving Expenses Policy. Depending on the phase, payments vary and are subject to different tax rules.

      This policy allows for reimbursement and/or direct pay of one trip per recruitment phase.  Reimbursements for additional visits must be authorized by the President and/or Provost.

      The Interview Phase Policy Statement

      The interview phase commences upon the first interview and ends upon extension of a written offer to the candidate.  The date the request to hire is submitted is considered the extension of a written offer.

      Any department seeking to recruit for a position of sufficient importance may, with the approval of the Dean, Director or Department Head, pay full or partial travel expenses of candidates who must travel to interview for the position. All costs of the interview are the responsibility of the department.

      Following approval by the Dean, Director or Department Head, the department may proceed with arrangements for interviews. All candidates should be advised of allowable expenses prior to the interview.  Payments or reimbursements for companions during the interview phase are not permitted.

      The University’s Travel and Entertainment Policies and Procedures apply to candidate searches. Costs for airline tickets may be charged to the University contracted travel agency. Please refer to the University’s Travel and Entertainment Policies and Procedures for additional information regarding approved class of travel.

      Procedure

      Prior to the candidate’s visit to the University, or as soon as feasible, the sponsoring department should set up the candidate as a vendor using the Vendor Create process in the Kuali Financial System (KFS).  After the vendor has been created and the trip has been completed, a Disbursement Voucher needs to be initiated by the department.  Payment will disbursed by the Accounts Payable Department after appropriate routing and approval through KFS.  Claims for reimbursement must be itemized and original receipts supporting all claims must be included. The following information should also be included in the Disbursement Voucher:

      1. Vendor Number
      2. Date of interview
      3. Title of position
      4. Search number
      5. Itemization of expenses
      6. KFS Account Number and Object Code to be charged
      7. All supporting receipts must be scanned and attached to the Disbursement Voucher in KFS

      The Offer and Acceptance Phase Policy Statement

      The offer and acceptance phase occurs between the date of the extension of a written offer and the move phase, which is defined as the final one-way trip of the selected candidate and their family to the primary duty station.

      Once the job offer has been extended, and with the approval of the Dean, Director or Department Head, the following offer and acceptance related expenses may be requested for reimbursement for the employee and one immediate family member defined as a spouse or child:

      1. Transportation (please refer to Part 2 and Part 3 of the Travel and Entertainment Policies and Procedure.
      2. Lodging (please refer to Part 4 the Travel and Entertainment Policies and Procedures for guidelines regarding accommodations)
      3. Meals (please refer to Part 5 of the Travel and Entertainment Policy and Procedure)

      Such expenses incurred in connection with the offer and acceptance phase are considered Nonqualified (Taxable) Expenses subject to withholding of applicable income taxes, social security and Medicare taxes.  Reimbursements are included in taxable income and reported on the annual Form W-2. Any expenses incurred through any direct pay vendor, including Nathan Hale Inn or any contracted University booking agencies for air travel, need to be properly classified and reported to the Payroll Department as taxable income by the University department incurring the cost for the expenses or sponsoring the search.

      Procedure

      Requests for reimbursement of expenses incurred during the offer and acceptance phase should be submitted to the Payroll Department on the Recruitment Expense Reimbursement- RE form.  The Payroll Department will review the request to ensure compliance with this policy.  Reimbursement requests that do not have the required two signatures will not be processed.

      All claims for expense reimbursement must be supported by original receipts. Payment will be included in the employee’s paycheck.

      Please Note: Reimbursements using UConn Foundation funds, or other private sources, will be remitted to the University and paid to the employee as if they were University funds. Departments are permitted to supplement the cost of recruitment expenses from their own departmental funds.

      Approval

      The Board of Trustees originally approved the Reimbursement of Recruitment and Moving Expenses Policy on July 1, 2003. The Board of Trustees approved the Reimbursement of Recruitment Expenses Policy and Procedures on August 7, 2013.

      Pre-Award/Advance Account Policy

      Posted on by
      Title: Pre-Award/Advance Account Policy
      Policy Owner: Office of the Vice President for Research, Sponsored Program Services
      Applies to: Faculty and staff conducting sponsored program activity at Storrs and the regional campuses
      Campus Applicability:  All campuses except UConn Health
      Effective Date: July 7, 2015
      For More Information, Contact Office of the Vice President for Research, Sponsored Program Services
      Contact Information: (860) 486-3622
      Official Website: http://ovpr.uconn.edu

       

      REASON FOR POLICY

      To enable Principal Investigators (PI) who have demonstrated a need to begin project-related activity on sponsored projects prior to receipt of the award notice or executed contract.

      APPLIES TO

      Faculty and staff conducting sponsored program activity at Storrs and the regional campuses.

      DEFINITIONS

      Pre-Award Account:  A pre-award account will be used for federal grants where costs are allowed up to 90 days prior to the official start date of the award under expanded authorities granted to the University.

      Advance Account:  Advance accounts will be established for those federal and non-federal awards not eligible for pre-award coding.  Costs can only be incurred on advance accounts as of the sponsor approved start date.

      POLICY STATEMENT

      The Office of the Vice President for Research, Sponsored Program Services (OVPR SPS) will establish Pre-Award or Advance Accounts under the following conditions:

      There is a demonstrated need by the PI to incur expenditures prior to the proposed start date (pre-award accounts) or prior to receipt of the executed contract (advance accounts).  Acceptable reasons for requesting an account include, but are not limited to the following:

      • Making employment offers and completing payroll authorizations
      • Equipping a lab or purchasing supplies
      • Purchasing equipment early to take advantage of a discounted price

      Accounts also require that:

      • A full copy of the proposal for the project is on file in OVPR SPS
      • OVPR SPS personnel are able to determine that pre-award expenditures are allowed, or in the case of advance accounts, it is likely that an award is forthcoming or contract will be executed
      • When applicable, required compliance approvals have been obtained

      This policy does not apply to Federal earmark funding.

      ROLES AND RESPONSIBILITIES

      Principal Investigators are responsible for submission of pre-award or advance account requests that are consistent with this policy and in accordance with our published procedures.

      OVPR SPS is responsible for responding to inquiries about this policy or procedures and approving account request.

      ENFORCEMENT

      Violations of this policy may result in appropriate disciplinary measures in accordance with University Laws and By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Code.

      PROCEDURES/FORMS

      See OVPR SPS website for Pre-Award or Advance Request Form.

      POLICY HISTORY

      Policy created:    2/19/2008

      Revised:             7/7/2015 (Approved by the Vice President for Research)