Faculty

Export Control and Economic Sanctions Policy

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Title: Export Control and Economic Sanctions Policy
Policy Owner: Office of the Vice President for Research
Applies to: Faculty, Staff, Students, Others
Campus Applicability:  All
Effective Date: 12/14/2015
For More Information, Contact Research Compliance Services
Contact Information: exportcontrol@uconn.edu, or (860) 486-8704
Official Website: https://ovpr.uconn.edu/services/rics/export-control/

REASON FOR POLICY

Export control and economic sanctions regulations aim to protect the national security, foreign policy, and economic interests of the United States.  Export control regulations govern how certain information, technologies, and commodities can be transmitted overseas or to a foreign national on U.S. soil, whereas economic sanctions regulations restrict transactions with certain countries, institutions, and individuals. The scope of the these regulations is broad: they cover exports in virtually all fields of science, engineering, and technology, apply to research activities regardless of the source of funding, and impose restrictions on activities by U.S. persons that occur outside the United States. Failure to comply with these laws can have serious consequences, both for the institution and for the individual researcher. The potential penalties include fines and imprisonment. These laws are collectively referred to as “Export Control Laws.”

The University of Connecticut (UConn) encourages and supports open research and the free exchange of ideas. Although most university activities and research are exempt from export control laws, UConn engages in activities, research, and the development of new technologies that are subject to Export Control Laws. UConn has established the procedures necessary to ensure the university and its employees remain in full compliance.

APPLIES TO 

This policy applies to all faculty, staff, students, researchers, and all other individuals working at the University of Connecticut Storrs, Regional Campuses, and UConn Health.

POLICY STATEMENT

UConn is committed to compliance with Export Control Laws, including those implemented by the U.S. Department of Commerce through its Export Administration Regulations (EAR), the U.S. Department of State through its International Traffic in Arms Regulations (ITAR), as well as embargo regulations imposed by the U.S. Treasury Department through its Office of Foreign Assets Control (OFAC).

The Office of the Vice President for Research (OVPR) is the designated authority charged with compliance oversight of the U.S. export control and economic sanctions requirements for UConn and has final authority on such matters. Research Compliance Services, an office within OVPR, is the functional administrative unit charged with the responsibility for oversight of export control and economic sanctions compliance and recordkeeping.

Individuals acting on behalf of the University, including faculty, staff and students, are responsible for complying with applicable Export Control Laws, including requirements related to international travel, the proper handling, transfer, access, storage, control, and dissemination of export controlled hardware, software, information, technology, and technical data to destinations and persons outside of the U.S., as well as in some cases, to foreign nationals at the university engaging in instruction, conducting research, or providing service activities.

The University typically conducts fundamental research in basic and applied science or engineering, which is widely and openly published and made available to the scientific and academic community. This allows for the Fundamental Research Exclusion, which means the research results are exempt from Export Control Laws. But Export Control Laws could apply if the research is not considered fundamental research, or if the research has restrictions on publication, foreign national participation, or restricted access to/disclosure of research results.  Please contact Research Compliance Services if you have any questions on whether or not Export Control Laws apply to your particular activity.

In order to comply with Export Control Laws applicable to international travel, the University will not permit or support travel to any country subject to a comprehensive U.S. Government embargo (as set forth in the UConn International Travel procedure, unless the travel falls within the scope of a license or exception granted by law and is reviewed in advance and approved in writing by the OVPR Senior Export Control Officer under this policy and the export control compliance protocols and procedures available online at: https://ovpr.uconn.edu/services/rics/export-control/.

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.

The civil and criminal penalties associated with violating Export Control Laws can be severe, ranging from administrative sanctions including loss of research funding, to monetary penalties, and imprisonment. Anyone found to have engaged in conduct contrary to this policy is subject to disciplinary action by the university up to and including dismissal or expulsion and civil or criminal prosecution.

PROCEDURES

Export control compliance protocols and procedures are available online at: https://ovpr.uconn.edu/services/rics/export-control/.

POLICY HISTORY

Policy created: 12/14/2015 (Approved by the Vice President for Research)

Revision History:

1/12/2016 (Approved and Adopted by the UConn Health Policy Committee)
7/3/2018 (Non-Substantive edits per the Office of General Counsel)
9/18/2018 (Non-Substantive edits per the Office of General Counsel)

Office of Treasury Services Policy and Procedure Manual

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Title: Office of Treasury Services Policy and Procedure Manual
Policy Owner: Office of the Associate Vice President of Financial Operations and Controller
Applies to: Faculty, Staff, State, Public and Private Entities
Campus Applicability:  All University Campuses
Effective Date: March 2013
For More Information, Contact Associate Vice President of Financial Operations and Controller
Contact Information: www.controller.uconn.edu
Official Website: http://ots.uconn.edu/ 

EXECUTIVE SUMMARY The Office of Treasury Services (“OTS”) serves as UConn’s public finance department, and professionally and prudently issues, invests and disburses UCONN 2000 bond funds, and also acts as the compliance department for UCONN 2000 and other tax-exempt debt pursuant to the rules and regulations of the Internal Revenue Service, the Securities and Exchange Commission, the Municipal Securities Rulemaking Board, State Law, and other entities. OTS’ clients include the University, the State Government, and Connecticut taxpayers. OTS strives to promote public confidence in the University’s Treasury Operations and the UCONN 2000 bonds through effective management of resources, high standards of professionalism and integrity, and skillfully acting on opportunity for the University’s debt programs in the public and private markets. These policies and procedures may apply to faculty, staff, and private entities and other on all University of Connecticut campuses. The policies and procedures listed below are not meant to be exhaustive.

Policies and Procedures

Debt Investment and Disbursements OTS actively manages the issuance of UCONN 2000 debt programs, including supplemental indenture authorization, bond issuance, disposition, bank account creation, deposits, investments and disbursements of UCONN 2000 debt proceeds totaling billions of dollars pursuant to the indentures, state law, the U.S. Internal Revenue Service, the Securities and Exchange Commission and other regulatory requirements. For further information please visit:

Investment Responsibilities A major responsibility of OTS is to invest bond funds with the objective of realizing risk adjusted investment return, consistent with the legal, safety, liquidity, tax-exempt and indenture compliance; and other constraints. For further information please visit:

Indenture Compliance While compliance is ultimately the responsibility of Senior Management, OTS working with bond counsel and others, performs much of the UCONN 2000 debt program’s compliance function including compliance with the General Obligation and Special Obligation Indentures.

The Master Indentures are available on the following links:

Tax-Exempt Debt Compliance – Including Ongoing Ongoing Compliance responsibilities include overseeing the required IRS, SEC, Indenture and other compliance. OTS has been delegated the responsibility to make the Municipal Service Rulemaking Board disclosure filings, and performing the appropriate Electronic Municipal Market Access system filings pursuant to the MSRB and SEC rules and regulations. OTS works closely with the Office of the State Treasurer and bond counsel on disclosure. For further information please visit:

Other Connecticut General Statute Compliance Treasury Services works with the UConn and UConn Health’s Initiating Department, General Counsel, and the UConn Health, the Office of the State Treasurer, and Attorney General’s Office for the sales or leases of assets including land pursuant to Conn. Gen. Stat. 4-b 38(g) and the tax compliance of any UCONN tax-exempt debt (including lease financings), pursuant to Connecticut General Statutes 3-20d. For further information please visit:

Endowed Chairs and Professorship, Procedures on

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Title: Endowed Chairs and Professorship, Procedures on
Procedure Owner: Office of the Provost
Applies to: University Employees
Campus Applicability:  All Campuses
Effective Date:  April 28, 2023
For More Information, Contact The Office of the Provost
Contact Information: (860) 486-4037
Official Website: provost.uconn.edu

 

BACKGROUND

Full-time academic staff appointed to endowed chairs or endowed professorships at the University of Connecticut are selected based on a distinguished record of scholarly or creative accomplishment, a strong record of teaching, and exemplary leadership and service to their school or college, the University, and the academic community.

 

PURPOSE

To outline the procedures for implementing the Policy on Endowed Chairs and Professorships

 

PROCEDURES

Criteria for Appointment and Renewal

Individual schools and colleges may develop more specific criteria for appointment to and renewal of endowed chairs and endowed professorships, but all recommendations to the Provost must describe how the candidate meets the conditions associated with the endowment as described in the gift agreement using one or more of the following criteria.

 

Scholarly or creative accomplishment

  • Distinguished and sustained record of achievement as evidenced by scholarly or creative publication in high quality outlets or by artistic performances or exhibitions in prestigious institutions.
  • University-wide, national, or international awards recognizing scholarly or creative contributions.

 

Teaching

  • Development of innovative teaching activities.
  • Successful mentorship of undergraduate and graduate students.
  • University-wide, national, or international awards recognizing teaching contributions.

 

Leadership, service, or public engagement

  • School, college, or University-wide level service.
  • Senior editorial positions in high quality scholarly journals.
  • Creative leadership in prestigious arts or creative organizations.
  • Significant leadership positions in national or international scholarly associations or societies.
  • Significant engagement with international, national, state, or local organizations (including government agencies).

 

Appointment and Renewal Process

Appointment to an endowed chair or an endowed professorship and renewal of an appointment requires a recommendation from the Dean of the school or college and/or Director of the university-level center or institute with which the professorship is associated. The Provost and Executive Vice President for Academic Affairs will review the recommendation and decide whether to endorse the recommendation and forward it to the President prior to seeking Board of Trustees for approval.

Prior to making a recommendation to the Provost, the Dean  or Director will solicit advice from a committee established and documented according to practices appropriate within the particular school, college, or unit. In particular, the committee might consist of (a) outstanding full professors within the school or college (a Board of Trustees Distinguished Professor from outside the school or college can be included where appropriate), (b) full professors on the Dean’s Promotion, Tenure, and Review Committee, or (c) appropriate department heads and Associate Deans.

In the case of an initial appointment, the committee may, when appropriate, solicit external letters to inform their recommendation.

The Dean must submit a memo with the following information to the Provost:

  • A history of the Endowed Chair/Professorship, including the purpose as outlined in the gift agreement
  • A description of the process through which recommendations were made, which will usually describe a small committee providing recommendations to the Dean
  • The terms of the appointment and other relevant details

Once approve, and in consultation with the President, the Provost and Executive Vice President for Academic Affairs or the Executive Vice President for Health Affairs will recommend a candidate for appointment to the Board of Trustees.

The Provost will consider exceptions to the ordinary procedures on a case-by-case basis.

 

ENFORCEMENT

Violations of these 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

 

REFERENCES

Policy on Endowed Chair and Professorships

List of Endowed Chairs and Professorship

 

PROCEDURES HISTORY

PROCEDURES Created: 9/26/2001

Policy Supersedes Endowed Chairs Policy (5/11/1990; 11/7/1989; 10/15/1989)

Revised: 03/13/2023 (Approved by Senior Policy Council)

Intellectual Property and Commercialization Policy

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Title: Intellectual Property and Commercialization Policy
Policy Owner: Office of the Vice President for Research
Applies to: Faculty, Staff, Students
Campus Applicability: Storrs and Regional Campuses and UConn Health
Effective Date: September 30, 2015
For More Information, Contact  Office of the Vice President for Research
Contact Information:  860-486-3619
Official Website:  http://research.uconn.edu/ 

 

Reason for Policy:  The University encourages the development and commercialization of intellectual property invented, created and developed by faculty, students and staff.  Intellectual property generally consists of patents, copyrights, trademarks and trade secrets.  This policy sets out the University’s policies with respect to such intellectual property, including its ownership, protection and commercialization.  The policy is organized as follows: (1) Ownership and Protection of Intellectual Property, (2) Commercialization of Intellectual Property, (3) Income Derived from Intellectual Property, (4) Licensing and New Company Formation, (5) Dealing with Outside Parties, (6) Other Considerations, (7) Exceptions, (8) Enforcement, and (9) Related Policies and Procedures. No policy of this nature can cover every possible scenario but it seeks to provide clarity on intellectual property and commercialization issues.  The Office of the Vice President for Research (“OVPR”) is the entity at the University primarily responsible for implementing and interpreting this Intellectual Property and Commercialization Policy, and is ready to work with faculty, staff and students to explain these policies and make determinations in specific cases.

Applies to: Faculty, staff and students at the Storrs and Regional Campuses and UConn Health

1. Ownership and Protection of Intellectual Property

A. Inventions and Patents.  Under Connecticut state law, the University owns all inventions created by employees in the performance of employment with the University or created with University resources or funds administered by the University (“University Inventions”). An issued patent is a limited grant from the federal government or a foreign government giving the owner of the patent the right to exclude others from practicing the inventions claimed in the patent.

B. Copyrights.  Copyright protection extends to any original works of authorship fixed in any tangible medium of expression.  A copyright owner possesses a series of exclusive rights, including the exclusive right to reproduce the work, prepare derivative works, distribute copies of the work, perform the work (in some cases) and display the work (in some cases). The University does not claim any product of authorship, unless a contract to the contrary modifies this general rule. If a contract grants ownership of the copyrighted work to an industry sponsor or other outside entity, an employee may be required to acknowledge the grant of ownership as a condition of working on such contract.  If a contract grants ownership of the copyrighted work to the University, the work will be considered a “University Copyright.” In addition, the AAUP Collective Bargaining Agreement and other relevant collective bargaining agreements may contain provisions that allocate copyright ownership and other rights between faculty, staff and the University.

C. Trademarks.  A trademark is a word, name, symbol or design that helps consumers identify and distinguish the source of a product from the products of others.  Similarly, a service mark is a word, name, symbol or design used by a person providing services to help the public identify and distinguish the source of the services from the service of others. A trade name is a name used to identify a business. The University owns all rights, title and interest in all  trademarks, service marks, trade names and other brand designations that relate to University Intellectual Property (as defined below) or to any University-related program of education, service, public relations, research or training (“University Trademarks”).  University Trademarks may be used only with the express written permission of the University.  Except as stated in Section 3(C), this Policy does not cover the use or licensing of University Trademarks; a link to the University’s trademark licensing procedures can be found in the “Related Policies” section of this Policy.

D. Trade Secrets.  A trade secret is any formula, pattern, device, method, know how or compilation of information that derives independent economic value from not being known by others, and is the subject of efforts by the owner to maintain its secrecy. The University maintains a number of trade secrets, including but not limited to, unpublished grant proposals, invention disclosures and scientific data for which the University has not applied for patent protection (“University Trade Secrets”). The University will also agree on a limited basis to maintain the trade secrets of its industry partners.

E. University Intellectual Property or UIP.  For the purposes of this Policy, University Inventions, University Copyrights and University Trade Secrets are referred to as “University Intellectual Property” or “UIP.” As noted above, University Trademarks are covered by a separate policy.

2. Commercialization

A. Industry Sponsored Research.  The University is committed to developing industry collaborations and supporting research and development.  The University understands that industry partners have diverse and unique needs, and is committed to providing contract terms and IP rights that meet these needs. Faculty members intending to work with industry partners should contact the OVPR so that different options can be discussed. The University offers many innovative intellectual property ownership models, including granting exclusive and non-exclusive licenses, which provide broad benefits to both industry and the University.

B. Government Sponsored Research.  UIP arising from research funded by the US government or other funding agency will be controlled by the terms of the grant or contract and applicable laws, including the Bayh-Dole Act.  Government-funded UIP will usually be owned by the University, subject to certain rights retained by the government.

C. Student Intellectual Property.  Students will own the intellectual property that they invent, create and develop, including work created for a class, unless the student is (1) working on a University research grant or other sponsored research, (2) working for the University as an employee, or (3) working under a contract that stipulates otherwise. In these cases, the University will own the intellectual property.

D. Disclosure of Inventions.  All faculty, employees (including students who are working for the University) and students (to the extent the student is working under a research grant, sponsored research or other governing contract) must disclose promptly any potentially patentable invention to the OVPR, and execute documents necessary for invention evaluation, patent prosecution or protection of University Patents. The disclosure should be made as soon as a faculty, employee or student becomes aware that their research or work has resulted in a patentable invention. OVPR will provide a preliminary evaluation of the patentable invention to the inventor within three months of disclosure, and will also provide periodic updates to inventor on the development and commercialization of the invention.

E. Determining Ownership and Protecting Intellectual Property.  The OVPR, in consultation with the faculty member, staff, student and industry partner (if applicable), will determine the ownership of all inventions and trade secrets, whether a copyrighted work is a University Copyright, and whether to seek patent or copyright protection for the intellectual property.

3.  Income Derived from Intellectual Property

A.  Inventions.  Under Connecticut state law and the by-laws of the University, the net revenue derived from licensing or income from the assignment or sale of University Inventions will be shared with employee inventors.  Although current state law only requires the University to distribute 20% of the net revenues to inventors, the Board of Trustees has approved the distribution of net revenue as follows: 33.3% to the inventors on the patent, 33.3% to their department and 33.3% to the University. Net revenue is defined as the gross proceeds derived from assigning or licensing the University Invention, less costs and expenses reasonably allocated to the University Invention. In addition, the department’s share is further divided among the dean, the department head and the faculty member. The portion of revenue distributed to the University will be invested in research related activities and patent protection.  If a faculty member, student or staff member is an inventor and leaves the University, he or she will remain entitled to the inventor’s share of the revenue.  In some prior cases, the University has made distributions using different allocations, and may in the future enter into mutually agreed distributions that differ from the above formula.

B. University Copyrights.  Net revenue derived from licensing of University Copyrights is property of the University, and the distribution of such revenue will be determined on a case by case basis, but may be distributed in a similar manner to the distribution for inventions as described above.

C. University Trademarks.  The University generally retains all income derived from licensing of University Trademarks.

4.  Licensing and New Company Formation

A.  Licensing of Intellectual Property.  The OVPR seeks to identify existing businesses that can further develop and commercialize the University Intellectual Property and bring a reasonable financial return to the University. Income derived from OVPR’s licensing activities is governed by Section 3 above.

B.  New Company Formation.  In cases where the faculty inventor may wish to form a new company based on the University Invention (hereinafter a “Faculty Startup or “Startup”), the University will require that the following conditions be satisfied before granting a license to University Intellectual Property to the Startup: (1) the faculty member may be involved with the Startup as a consultant or scientific advisor, but may not take on an operational role that interferes with her or his duties as a faculty member, (2) the Startup must demonstrate willingness and commitment to identify and engage individuals with reasonable and relevant experience to serve as the operating officer of the Startup, and (3) the Startup should develop a business plan and a fundraising plan.  As part of granting the license to the Startup, the Startup will provide consideration to the University, which could include a reasonable equity stake, a reasonable royalty, as well as assuming the costs of intellectual property protection.  Income earned by University from a Startup license or equity ownership is governed by Section 3 above.

C. Additional Considerations for Faculty Affiliated Companies. The following additional considerations apply to Startups:

(1)        A faculty lab may collaborate or subcontract with a Startup only if an appropriate agreement is negotiated with the OVPR.  The contract must contain a scope of work and clearly define responsibilities between the Startup and the faculty lab.  The agreement will be governed by the applicable University policies, including this IP and Commercialization Policy.

(2)        The faculty member may not represent the University in any negotiation or decision involving a Startup.

(3)        The faculty member individually, and the Startup, must maintain practices that ensure that University material, data and intellectual property that are not licensed to the Startup are separated from and not used inappropriately by the Startup.

(4)        The faculty member may not use space in an academic lab, or other University or state resources, including the University’s purchasing authority, for the benefit of a Startup unless (a) prior written approval has been granted by the appropriate department head or dean, and (b) a written agreement is in place with the University authorizing such use and agreeing to reimburse the University for such use.

(5)        A faculty member that works on a Startup must fully comply with the policies on “Consulting for Faculty and Members of the Faculty Bargaining Unit” and “Financial Conflict of Interest in Research” and any other similar or successor policies on the same subject. These policies are designed to ensure that a faculty member’s relationship with a Startup does not create a real or perceived conflict of interest, and that the faculty member and University have agreed on the scope of permissible Startup activities.

(6)        Startups may not compete with the University for research grants that could appropriately be conducted in the faculty member’s lab (i.e., grants for basic research).

D. Employment of Students Working at Startups.  Faculty associated with a Startup may not unduly influence a student to accept employment. The employment of students at a Startup is governed by a separate University policy, namely “Use of Students in Outside Employment.” Under this policy, the faculty member must obtain written approval from the department head or dean prior to employing a student at a Startup, and the student may seek recourse through the Provost to address any grievances that may arise during the term of employment.

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.

E. Licensing Back of University Intellectual Property. If the University does not believe that it can successfully commercialize a University Invention, and if the faculty member is not interested in founding a Startup, the University will offer the inventor a license of the University Invention (such license referred to as a “license back”). In addition, the inventor may request a license back from OVPR at any time. OVPR is not required to grant a license back but will respond to any request within three months.  If the University elects to license back the University Invention to the inventor, the inventor, as licensee, will assume obligations related to patent expenses and commercialization and will agree to pay a portion of the gross revenue that the inventor receives through his or her commercialization efforts. In addition, the inventor will not be entitled to the net revenue payments described in Section 3 of this policy.

5. Dealings with Outside Parties

A. Sponsored Research.  All sponsored research agreements are negotiated and managed by the OVPR. Individual faculty members, departments, centers and other units of the University must work through the OVPR on such agreements.

B. Consulting.   University faculty are encouraged to consult with industry, but must comply with all procedures set forth in “Consulting for Faculty and Members of the Faculty Bargaining Unit.” These policies apply even if the faculty member is consulting for a Startup, including a Startup with which that individual faculty member is affiliated.

Faculty members are required to ensure that the intellectual property provisions of any consulting agreements with industry do not conflict with the faculty member’s obligations to the University.

C. Use of Non-Disclosure Agreements.  Non-public information related to University Intellectual Property should not be disclosed to outside parties unless there is in place a fully executed Non-Disclosure Agreement negotiated by OVPR and approved by University counsel.

D. Tangible Property.  Tangible property, including but not limited to software, devices, designs, models, cell lines, plans, seeds, antibodies, compounds and formulations that are University property, may not be transferred outside of the University unless there is in place a fully executed Material Transfer Agreement negotiated by OVPR and approved by University counsel.

6. Other Considerations

A. Publication.  Inventors should be aware that publication of research data and findings can jeopardize intellectual property rights for the University and the faculty member. When the University enters into industry sponsored research agreements, it will retain the right to publish all research results generated by faculty and students. The University may agree to delay the publication of research results that arise from industry sponsored research for a reasonable period of time to allow the sponsor to review the publication in order to determine if any confidential information should be removed or if a patent application should be filed.

B. Affiliates and Intellectual Property.  In some limited cases, the University has affiliation agreements with other organizations (e.g. hospitals), and these agreements may grant the University additional intellectual property rights. For example, if a student is receiving a stipend from the University through an affiliate organization, the University will assert ownership of intellectual property created by the student.

C. Open Source Software Distribution.  In those instances in which the University has an ownership interest in software, faculty and sponsors of research may request that the University distribute or otherwise make available software pursuant to an open source license.  The faculty member should consult with OVPR to determine if such distribution is in the best interests of the University.

D. Signing of Agreements.   Sponsored Research Agreements, Intellectual Property Licenses, Confidential Disclosure Agreements, Material Transfer Agreements and other related agreements that obligate the University may only be signed by an authorized University signatory. A full list of authorized signatories is set forth in the President’s Resolution Delegating Signing Authority (the website link is provided at end of this Policy).

Deans, Faculty and Department heads are not authorized under the President’s Resolution to sign agreements covered by this Policy.

E. Disagreements Related to Inventions.   The University By-Laws establish procedures to follow in the event of a disagreement related to inventions.

7.  Exceptions to This Policy

Exceptions to this Intellectual Property and Commercialization Policy may be approved by the OVPR, in consultation with the applicable University department, and faculty members, in its sole discretion.  The Office of Clinical and Translation Research may approve changes to clinical trial agreements.

8. 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.

9.  Related Policies, Procedures and Board Resolutions

This policy replaces “Policy Regarding Research Collaborations with Industrial Partners and Technology Transfer”

The following are links to related policies, procedures and board resolutions, sorted by campus applicability.

All University Campuses

“Consulting for Faculty and Members of the Faculty Bargaining Unit”

“Consulting by Faculty” website

University Trademark website

Specific to Storrs and Storrs-based Regional Campuses

“Financial Conflicts of Interest in Research”

“Use of Students for External Employment”

“Board of Trustees Resolution Delegating Signing Authority”

Specific to UConn Health

Further Sub-Delegations of Contract Approval and Signature Authority at OVPR

Data Ownership

Individual Financial Conflict of Interest in Research 

 

If any of the above policies are amended or new relevant policies adopted, these amended or new policies will apply as of their effective date.

Policy approved by the President’s Cabinet.

Adopted by the University of Connecticut Board of Trustees on September 30, 2015 and effective as of September 30, 2015.

Fixed Price Residual Policy

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Title: Fixed Price Residual 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 for UConn Health
Effective Date: July 7, 2015
For More Information, Contact Offices of the Vice President for Research and Sponsored Program Services
Contact Information: (860) 486-3622
Official Website: http://research.uconn.edu

 

REASON FOR POLICY

To establish guidelines for the disposition of residual balances remaining in sponsored project accounts for fixed price contracts awarded to the University.

APPLIES TO

This policy applies to faculty and staff at the Storrs and regional campuses who are working with sponsored program grants and contracts.

DEFINITIONS

Fixed Price Contract: An agreement in which the University guarantees to deliver a product or perform a service for a set (fixed) price agreed upon in advance and payable regardless of actual costs.

Residual Balance: An unobligated, unspent balance remaining in a fixed price sponsored project account after all work has been completed and all deliverables have been met.

POLICY STATEMENT

Residual fund balances that are under 15% of the direct cost budget of a fixed price sponsored program restricted project account will be transferred to an unrestricted account for use by the PI at his/her discretion subject to the following conditions:

  • The project budget represented a good faith and realistic estimate of the cost to perform the work.
  • The PI confirms in writing that all project-related costs have been charged to the project account and that all deliverables have been met.

Direct cost balances over the first 15% will be evaluated by the Dean of the school/college to determine their disposition.

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

SPS has established operating procedures designed to ensure compliance with this policy. This includes working with the PI and department personnel during the closeout process to ensure all project-related costs have been charged to the restricted account, and all deliverables have been met.

See Fixed Price Residual on the Award section of the OVPR website.

POLICY HISTORY

Policy created:   3/1/2013

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

Policy for Education Abroad and Related Activities in Sites with U.S. Department of State Travel Warning/Travel Alert

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Title: Policy for Education Abroad and Related Activities in Sites with U.S. Department of State Travel Warning/Travel Alert
Policy Owner: Global Affairs
Applies to: Undergraduate and Graduate Students, Postdoctoral Research Associates, Faculty, Staff
Campus Applicability: Storrs and Regional Campuses including the Law School
Effective Date: July 23, 2015
For More Information, Contact Assistant Vice President for Global Affairs
Contact Information:  860-486-2908
Official Website: http://global.uconn.edu/

Waiver Application

Waiver Application for Travel to High-Risk Countries/Regions

REASON FOR POLICY

Global engagement is one of the four core values of the University of Connecticut, as presented in the University’s 2014 strategic planning document Creating Our Future: UCONN’s Path to Excellence. The University has long supported students, faculty and staff as they travel internationally for credit-bearing Education Abroad programs, internships, research, service learning and volunteer opportunities, conferences, registered student organization activities, student groups affiliated with academic departments, and other non-credit-bearing University programs. To further the University’s core values, ensure that students, faculty and staff have all relevant information and support they need while traveling abroad, and assess any potential risks and appropriate actions to reduce those risks, the University has established guidelines concerning  how, when and where students, faculty and staff may travel abroad for university-sponsored or university-related purposes. The University of Connecticut considers issues of terrorism, war, disease and other risks to travelers when assessing the appropriateness of university-sponsored or university-related international travel to a country with a U.S. Department of State Travel Warning or Travel Alert.

Accordingly, the University will not permit or support travel to any country with a U.S. Department of State Travel Warning or Travel Alert except pursuant to a Waiver approved by the Vice President for Global Affairs under this policy.

 

APPLIES TO

This policy applies to all undergraduate and graduate students, postdoctoral research associates, faculty and staff at the Storrs and regional campuses including the Law School traveling internationally for university-sponsored or university-related purposes. University-sponsored or university-related purposes include credit-bearing Education Abroad programs, internships, research, service learning and volunteer opportunities, conferences, registered student organization activities, student groups affiliated with academic departments, and other non-credit-bearing University programs.

This policy does not include travel through a program that is administered by another organization that has not been vetted and approved by UConn’s Office of Global Affairs: Education Abroad (OGA:EA) or does not have a formal agreement or exchange program with UConn.

This policy does not apply to students, faculty or staff who make the personal decision to travel internationally on a program or for a purpose not affiliated with the University and use their own funds, or other non-University funds, to support this travel. That is personal travel. This policy does not apply to personal travel. Personal travel includes additional independent travel before or after travel for university-sponsored or university-related purposes that is not part of the official university-sponsored or university-related itinerary. University-sponsored international health insurance does not cover personal travel by faculty, staff or students.

This policy does not apply to the University of Connecticut Health Center.

DEFINITIONS

“Education and Activities Abroad” and “Education Abroad and Related Activities” means any travel outside of the United States for university-sponsored or university-related purposes.

“Program Director” means the faculty or staff advisor, or in the case of a UConn Registered Student Organization or student group affiliated with an academic department of the University, the student leader of the Organization or student group, who is responsible for the planning and implementation of an Education and Activities Abroad program or travel opportunity. In the case of individual student, faculty or staff travel for university-sponsored or university-related purposes, the Program Director means the individual traveler.

“Risk Advisory Committee (RAC)” means the committee formed to review Waiver Applications for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts. The RAC members include the Director of UConn’s Office of Global Affairs: Education Abroad (OGA:EA), a second and/or additional member(s) appointed by the Vice President for Global Affairs, and a representative from the Office of the General Counsel, or their successor in function. As appropriate to the proposed Education and Activities Abroad program or opportunity, the RAC may also seek input from representatives of the School or College associated with the Education and Activities Abroad program, the Division of Student Affairs, and/or any experts on country conditions of the proposed destination. The Chair of the RAC will be designated by the Vice President for Global Affairs.

“University-sponsored or university-related” means credit-bearing study abroad programs, internships, research, service learning and volunteer opportunities, conferences, registered student organization activities, student groups affiliated with academic departments, and other non-credit-bearing University programs. This includes the following:

–           Any travel in connection with activities for which academic credit is sought, including programs operated through UConn’s Office of Global Affairs: Education Abroad (OGA:EA), travel as part of a formal academic program or course of study, internship credit, and travel for independent study credit (including retroactive requests for academic credit).

–           Any travel for purposes of performance, sporting events, service learning, conferences, meetings, professional development or volunteerism organized by an academic department, a UConn Registered Student Organization or a student group affiliated with an academic department of the University.

–           Any travel for which funding is sought through a University-administered account or a student government-administered account within UConn.

–           Any travel that requires travel approval through UConn Travel Services and/or that requires international health insurance through a University-contracted insurance plan.

“Waiver Application” means the Waiver Application for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts, administered by UConn’s Office of Global Affairs: Education Abroad (OGA:EA).  The Waiver Application may be revised by the Vice President of Global Affairs from time to time consistent with this Policy.

POLICY STATEMENT

The University observes the following policy:

If the U.S. Department of State issues a travel warning/travel alert for a particular country or region within a country, UConn will suspend approval of any current Education and Activities Abroad program or individual university-sponsored or university-related travel by UConn students, postdoctoral research associates, faculty and/or staff and will not approve any new travel in that country as long as the travel warning/travel alert is in effect unless an application for a Waiver of this policy is submitted and approved by the Vice President for Global Affairs.  Without approval of the Waiver, university support is withdrawn. No academic credit will be awarded for programs in those countries, and reimbursement for the travel may be denied.

I.        Proposed Programs or Activities

When initiating a new Education or Activity Abroad opportunity, the Program Director or, in the case of individual travel, the student, faculty or staff member intending to travel, should review whether any destination country is the subject of any travel warnings or travel alerts issued by the U.S. Department of State. See http://travel.state.gov/content/passports/english/alertswarnings.html. All U.S. Department of State travel warnings and travel alerts applicable to the destination country must be disclosed and a Waiver sought as part of the proposal, even when the travel warning/travel alert covers a different region or state from the program’s in-country destination.

In reviewing the Waiver Application, the University will carefully review the actual U.S. Department of State travel warning/travel alert, as well as other sources, which may include recommendations of other countries such as Canada, the United Kingdom and Australia.

There may be legitimate academic reasons for developing or continuing a program or exchange in a country or in certain regions of a country while limiting travel to other regions of that same country. In some situations, a travel warning/travel alert may be very narrowly defined. For example, on May 5, 2015, the U.S. Department of State updated its travel warning for Mexico. That travel warning assessed security conditions for Mexico state-by-state. At that time the state of Oaxaca listed “no advisory is in effect,” while the state of Tamaulipas had a security advisory in effect. In such a circumstance, upon careful review a Waiver might be granted for travel to Oaxaca State, while denied for travel to Tamaulipas State.

In reviewing the Waiver Application, the University will also carefully review any other pertinent factors brought to the University’s attention, such as any impact to University faculty and staff on sponsored research funding for projects that may not reach completion if the faculty or staff member were to be prohibited from travel or continued travel to a travel warning/travel alert country under this policy. When completing the Waiver Application, faculty or staff should note the existence of and any adverse consequences to sponsored research as part of the reasoning to permit the travel despite the existence of a U.S. Department of State travel warning/travel alert.

Waiver Process

If a new Education or Activity Abroad program or opportunity is being proposed in any country where a travel warning or travel alert is current, the following process should be followed:

A.      When proposing university-sponsored or university-related international travel, certain forms are always required:  the “Education and Activities Abroad Program proposal request” form to be submitted for all student Education or Activity Abroad opportunities; the “Student Organization Off-Campus Event Advising” form to be submitted for all registered student organization travel; or the UConn Travel Office’s Travel WebForm providing for enrollment in international health insurance through the University-contracted international health insurance plan for faculty, staff and graduate assistant travel. In addition, for travel to any country where a travel warning or travel alert is in effect, a Waiver Application for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts must be completed and submitted to the Office of Global Affairs: Education Abroad (OGA:EA). Current Waiver Applications for Students and Faculty/Staff are available for download at the top of this page. OGA:EA will also provide the current Waiver Application form upon request.

B.      The Risk Advisory Committee (RAC) will review the Waiver Application. The RAC will then forward the Waiver Application with a recommendation to the Vice President for Global Affairs.

C.      Vice President’s Decision:

1.      Waiver Approved: If a Waiver is approved by the Vice President for Global Affairs, the travel warning/travel alert will be reviewed periodically by OGA:EA until a rescission or new travel warning/travel alert is issued by the U.S. Department of State. If a new travel warning/travel alert is issued, then the program will be reviewed as per the procedures below for current programs.

a.      All participants in the program will receive a copy of the U.S. Department of State travel warning/travel alert along with a copy of the completed Waiver Application. All prospective travelers will be interviewed by the proposed Program Director, representative of the OGA:EA, representative of the Division of Student Affairs, or other individuals who are developing the program. This interview will explain the program purpose and the environment in which it will take place (including health, safety and other program elements) and deliver information about the U.S. Department of State’s travel warning/travel advisory to enable travelers to make informed consent decisions as to their participation in the program.

b.      After prospective travelers have been interviewed and determined to be qualified to join the program, and only after the Waiver has been approved, all prospective travelers in the program will review and sign the Informed Consent and Release of Liability statement. It will be the responsibility of the Program Director of the proposed program to ensure that all program participants have completed an Informed Consent and Release of Liability statement prior to departure for the program. Completed and signed Informed Consent and Release of Liability forms should be submitted to OGA:EA. Current versions of the Informed Consent and Release of Liability forms are included within the Waiver Applications for travel to high risk countries. They may be revised by the Vice President of Global Affairs from time to time consistent with this Policy.

c.       If a Waiver has been approved for travel to a U.S. Department of State travel warning/travel alert country or region, additional travel to a different country or region subject to a U.S. Department of State travel warning/travel alert country or region that was not considered as part of the Waiver Application is not permitted unless that additional travel has also been reviewed and approved through a subsequent Waiver Application in accordance with this policy.

d.      Refunds and Withdrawals: Travelers will be permitted to withdraw from a program for which a Waiver has been approved if they are not comfortable traveling to the country or region. Reasonable efforts will be made to find alternate programs for travelers to enroll in. If an alternate program cannot be found, reasonable efforts will be made to refund any fees already paid, but the actual amount of refund will be determined on a case-by-case basis by the OGA:EA.

2.      Waiver Application Denied: If the Vice President for Global Affairs determines that the Waiver Application should be denied due to the situation reflected in the U.S. Department of State travel warning/travel alert, the Program Director and/or the Director of the OGA:EA will notify any current program applicants.

a.      Reconsideration of the decision: When a Waiver Application is denied, the Program Director and the Director of the OGA:EA and/or Chair of the RAC will have the opportunity to confer with the Vice President for Global Affairs about the decision. The Program Director will have the opportunity to submit any new evidence of current country conditions that was not previously before the RAC. If the Vice President finds it appropriate, he or she may refer such evidence back to the RAC for further consideration. The decision as to whether to consider new evidence and reopen the review of the RAC will be at the sole discretion of the Vice President for Global Affairs.

b.      Refunds and Withdrawals: If money has already been collected for a program to a U.S. Department of State travel warning/travel alert country and the Waiver Application is denied, the process for notification and refunds will be determined on a case-by-case basis by the Vice President based on recommendations from the OGA:EA.

c.       If a Waiver Application is denied, any student, faculty or staff member who makes the personal decision to travel to the location notwithstanding the denial does so as a private individual without a connection to the University. The travel will not be considered affiliated with or supported by the University, University funds will not be used to support the travel, and University-contracted international health insurance will not cover the travel. The University will have no obligation or liability in connection with such travel.

II.      Current Programs

If a U.S. Department of State travel warning/travel alert is announced in a country where an existing Education or Activity Abroad program operates, the Vice-President for Global Affairs are authorized to summarily suspend the operation of the effected program(s) and require the safe and expeditious return of program participants to the University campus.

If this step is deemed not immediately warranted, the following procedures must be implemented:

A.      The Program Director or associated on-campus program facilitator must complete the Waiver Application for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts and submit it to the OGA:EA within 48 hours of the issuance of the travel warning/travel alert.

B.      The Risk Advisory Committee (RAC) will review the Waiver Application as soon as possible, with a goal of within 2 business days of receipt of the Waiver Application. The RAC will then forward the Waiver Application with a recommendation to the Vice President for Global Affairs.

C.      Vice President’s decision:

1.      Waiver Approved: If a Waiver is approved by the Vice President for Global Affairs, the U.S. Department of State travel warning/travel alert will be reviewed periodically by OGA:EA until a rescission or new travel warning/travel alert occurs. If a new travel warning/travel alert is issued, then the program will be reviewed anew, as per the procedures above.

a.      If a Waiver is approved by the Vice President for Global Affairs, all travelers on that program will receive a copy of the U.S. Department of State travel warning/travel alert along with a copy of the completed Waiver Application. All travelers will be required to sign the Informed Consent and Release of Liability statement attesting that they have read the travel warning/travel alert and the Waiver Application and wish to continue with the program. If the traveler is under the age of 18, the traveler’s parents must review and sign these materials.

b.      If a Waiver has been approved for travel to a U.S. Department of State travel warning/travel alert country or region, additional travel to a different country or region subject to a U.S. Department of State travel warning/travel alert that was not considered as part of the Waiver Application is not permitted unless that additional travel has also been reviewed and approved through a subsequent Waiver Application in accordance with this policy.

c.       Refunds and Withdrawals: If a Waiver is approved by the Vice President for Global Affairs, travelers will be permitted to withdraw from the program for which the Waiver has been approved if they are not comfortable remaining in the country or region. Reasonable efforts will be made to allow any travelers who do withdraw to complete their coursework or program objectives after their return. Reasonable efforts will be made to refund any unused or unapplied fees, but the actual amount of refund will be determined on a case-by-case basis by the OGA:EA.

2.      Waiver Application Denied:  If upon review, the Vice President for Global Affairs determines that a program should be cancelled or suspended due to the situation reflected the U.S. Department of State travel warning/travel alert, the Program Director and/or the Director of the OGA:EA will notify all current travelers and institute procedures to return travelers to the University campus or other safe location.

a.      Reconsideration of the decision:  When a Waiver Application is denied, the Program Director or associated on-campus program facilitator, alongside the Director of OGA:EA and/or Chair of the RAC, will have the opportunity to confer with the Vice President for Global Affairs about the decision. The Program Director will have the opportunity to submit any new evidence of current country conditions that was not previously before the RAC. If the Vice President finds it appropriate, he or she may refer such evidence back to the RAC for further consideration. The decision as to whether to consider new evidence and reopen the review of the RAC will be at the sole discretion of the Vice President for Global Affairs.

b.      Refund and Withdrawals: If the Vice President for Global Affairs determines that a program should be cancelled or terminated due to a U.S. Department of State travel warning/travel alert, reasonable efforts will be made to refund any unused or unapplied fees, but the actual amount of refund will be determined on a case-by-case basis by the OGA:EA.

c.       If a Waiver Application is denied, any student, faculty or staff member who continues to make the personal decision to travel to or continue travel in the location notwithstanding that denial does so as a private individual without a connection to the University. The travel will not be considered affiliated with or supported by the University, University funds will not be used to support the travel, and University-contracted international health insurance will not cover the travel. The University will have no obligation or liability in connection with such travel.

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 Responsibilities of Community Life: The Student Code.

The University reserves the right to deny academic credit, funding or reimbursement for any university-sponsored or university-related international travel that is considered inconsistent with published policies and practices.

RELATED POLICY

See also:

Export Control and Economic Sanctions Policy

Student International Travel Policy

Travel & Entertainment Policy

Guideline for the Employment of Graduate Students

Posted on by
Title: Guideline for the Employment of Graduate Students
Guideline Owner: Office of the Provost
Applies to: Faculty, Staff, Units
Campus Applicability: Storrs and Regional Campuses
Effective Date: February 1, 2017
For More Information, Contact Office of the Provost
Contact Information:  860-486-4037
Official Website:  http://provost.uconn.edu/

 

GUIDELINE FOR THE EMPLOYMENT OF GRADUATE STUDENTS

Revised February 1, 2017

 

Purpose

The purpose of this guideline is to clarify federal regulations, state law, and university policy pertinent to the employment of graduate students at the University of Connecticut. Units that seek to employ graduate students should be careful to use the appropriate employment mechanism considering the nature of the work and the tax implications for the student.

Existing Law and Policy

The University defines graduate assistants as graduate students “who provide teaching or research support to the University that is a part of his/her academic program,” and requires that all assistantships be administered through an academic department. (See https://grad.uconn.edu/wp-content/uploads/sites/2114/2016/05/Definitions-GA.pdf.)

This definition is intended to align with the federal Tax Code Section 117(c), which provides that scholarships and tuition reductions are taxable income to the student (and thus potentially subject to withholding like wages) when they represent “payment for teaching, research or other services by the student required as a condition for receiving” the scholarship or tuition reduction.

That statute also, however, provides a narrow and specific exception for a graduate student at a college or university “who is engaged in teaching or research activities for such organization” (§ 117(d)(5)). This provision allows the University to provide Research Assistants and Teaching Assistants their tuition waivers tax-free. In cases where Graduate Assistants are not engaged in teaching or research activities for the University, IRS guidance requires the University to withhold extra taxes from these Graduate Assistants’ paychecks as though they were paid the waiver in cash, less an allowable exclusion of $5,250 per calendar year.

In addition, state law requires the University to waive tuition for Graduate Assistants (Conn. Gen. Stat. Sec. 10a-105).

Employment of graduate students

There are several mechanisms by which units can employ graduate students at the University of Connecticut. The following chart illustrates the appropriate mechanism for hiring a graduate student, as described in more depth below, along with guidance about when each is appropriate.

Title Function Timeframe Payroll
Graduate Assistant (GEU-UAW) Graduate students who provide teaching or research support to the University as part of his/her academic program Academic Year Graduate Payroll
Graduate Special Payroll Lecturer (GEU-UAW) Graduate students who are serving as the instructor of record. Summer and Winter Intersession Special Payroll
Graduate Instructional Specialists (GEU-UAW) Graduate students who are appointed to work in an instructional support capacity Summer and Winter Intersession Special Payroll
Graduate Student Technician (GEU-UAW) Graduate students who are performing research activities for the University Summer and Winter Intersession Special Payroll
Student Labor Graduate students who are performing a wide-range of functions (administrative, social services, library, maintenance, etc) At any point Student Payroll
Work Study Graduate students who are participating in the federal need-based financial aid work program. At any point Student Payroll
Interns and Fellows Graduate students who perform work as part of their academic programs typically outside the University and typically for course credit in their program of study Academic Year Graduate Payroll

Graduate assistantships – Academic Year

During the academic year, Graduate Assistants receive a tuition waiver, a stipend, and health insurance in exchange for performing teaching, research, or other duties for the university. Graduate Assistants are members of the GEU-UAW bargaining unit and their employment is governed by the collective bargaining agreement effective July 1, 2015.

Graduate Assistants are expected to work an average of twenty hours per week (considered a “full GA,” or a 100% appointment). Occasionally, units may appoint a Graduate Assistant for less than twenty hours per week, typically fifteen hours (a 75% appointment) or ten hours (a 50% appointment). Under state law, these Graduate Assistants receive a full waiver of their tuition despite their reduced work hours, and thus the University expects units to use these partial appointments very judiciously only to meet special needs, such as to align with the timeline of a research grant or to cover an unexpected teaching need.

As a consequence of the University’s definition of a Graduate Assistant, it is the University’s expectation that all Graduate Assistants will have assignments that substantially involve work that supports the teaching or research missions of the University, or both. Thus, Graduate Assistants are usually assigned as Teaching Assistants or Research Assistants or a combination of the two. Since the University’s teaching mission involves a large array of activities beyond traditional classroom instruction, Graduate Assistants may also be assigned to support implementation of instructional technologies, advising programs, cultural programs, learning communities, and other co-curricular activities.

Graduate assistantships – Summer and Winter Intersession

Graduate students who perform teaching or research activities for the University as part of an academic program during the summer months or the winter intersession are also governed by the GEU-UAW collective bargaining agreement and are hired through special payroll. Graduate Assistants in the summer or intersession who serve as the instructor of record should be hired as Graduate Special Payroll Lecturers. Graduate Assistants who are providing various levels of instructional support should be hired as Graduate Instructional Specialists. Graduate Assistants who are providing research functions should be hired as Graduate Student Technicians. Detailed information about summer graduate student titles is available at: https://hr.uconn.edu/special-payroll-info/ 

Graduate assistantships – Not Substantially Related to Meeting Teaching and Research Missions

When a unit seeks to offer work to a graduate student that is not substantially related to meeting teaching or research needs, the University expects units to use one of the mechanisms described below (student labor, or work study,) to employ that student. In particular, work that is predominantly administrative in nature should be accomplished through these means.

There may be exceptional cases when a unit determines that a graduate assistantship is the best means to appoint a student even though the student’s work will not substantially involve teaching or research. While inconsistent with University definitions and expectations, Federal regulations do not prohibit Graduate Assistants from performing duties other than as Teaching Assistants or Research Assistants. If a unit seeks to employ a Graduate Assistant for work other than teaching or research, the unit must obtain permission to do so from the Dean of the Graduate School. Further, the unit must inform the student in the appointment offer letter that the tuition waiver they will receive is likely to be taxable, and thus their stipend will be subject to withholding. Units should also be aware that these Graduate Assistants will be members of the GEU-UAW bargaining unit and thus covered by the collective bargaining agreement.

Student labor

According to the University’s policies and procedures related to student employment, graduate students may be employed as temporary, non-exempt hourly workers. These graduate students are not considered Graduate Assistants, and should not be coded or compensated as GAs, RAS, or TAs, and are not covered by the collective bargaining agreement. They may fulfill positions requiring various levels of skill and experience, from trainee-level jobs to supervisory and highly technical jobs. These jobs may support a wide range of University functions, including research, administration, information technology, fiscal management, library, maintenance, recreation/athletics, social services, academic services, public services, and the arts. The job duties, work hours, and schedules of graduate students employed on the student labor payroll are set by the hiring department. Levels of pay follow a set schedule depending on job requirements. Students on student labor receive bi-weekly paychecks for hours worked. Generally, it is expected that full-time students work no more than twenty hours per week, except during breaks when it is expected they will work no more than forty hours per week. Detailed information about student employment is available at http://studentjobs.uconn.edu/employment-guide/.

Work-study

Work-study is a federal need-based financial aid work program that allows students (including graduate students) to earn money to meet educational expenses as temporary, non-exempt hourly workers. These graduate students are not considered Graduate Assistants, and should not be coded or compensated as GAs, RAS, or TAs, and are not covered by the collective bargaining agreement. The jobs and levels of pay are the same as those available through student labor, but these are funded 75 percent by financial aid awards made by Office of Student Financial Aid Services and 25 percent is centrally funded. Work hours and schedules depend on job requirements and are set by the hiring department, and work-study students receive bi-weekly paychecks for hours worked. The total number of hours a work-study student has available to work is dictated by the pay rate associated with their job and the amount of the student’s work-study award. Once the award is exhausted, a unit may continue to fund and employ the student in the same job on the student labor payroll. Detailed information about student employment is available at http://studentjobs.uconn.edu/employment-guide/.

Interns and fellows

As defined in University policy, an internship is an experiential job placement designed to enhance the knowledge, skills, and abilities of a student and enhance their employability. Interns perform work as part of their academic programs, typically in an entity outside the university and typically for course credit in their program of study. Graduate students appointed as interns are not Graduate Assistants, and should not be coded or compensated as GAs, RAs, or TAs. To aid graduate interns in the pursuit of their studies, the University may provide scholarships to cover their tuition and/or health insurance. Additionally, interns may occasionally receive compensation for services they perform for their host organization, which, when administered by the University, is paid through Payroll and subject to tax withholding.

A fellowship is awarded to a graduate student to pursue his or her academic program, but does not require the student to do work for the University. Graduate fellows may receive funding from the University or another source that may cover their tuition and provide stipends and health insurance.

Under certain conditions, scholarships (including health insurance subsidies) provided to interns and fellows may be taxable. In cases where a student is provided a scholarship or tuition waiver that is not connected to employment, however, the University is has no general obligation to report the scholarship income or withhold any tax, except in limited cases involving international students. For the majority of students, it is entirely up to the student to claim scholarship income on his or her tax return.

Use of University Funds for Gifts, Social Functions, Sponsorships & Donations

Posted on by
Title: Use of University Funds for Gifts, Social Functions, Sponsorships & Donations
Policy Owner: Office of the Controller
Applies to: All Faculty and Staff
Campus Applicability:  All Programs at All Campuses, except UConn Health
Effective Date: June 1, 2017
For More Information, Contact Office of the Controller
Contact Information: (860) 486-0865
Official Website:  http://controller.uconn.edu/

 

REASON FOR POLICY

As a public university and agency of the State of Connecticut, the University draws funding from a wide range of sources including students, taxpayers and benefactors.  The University has an obligation to these constituencies to use its funds prudently in pursuit of its mission and goals.  All uses of University Funds, therefore, must be directly related to University business and in the best interests of the University.  This policy provides guidance to departments and employees when considering the use of University Funds for gifts, social functions, sponsorships and donations.

APPLIES TO

All employees and individuals with authority to request, control or approve the expenditure of University Funds.

DEFINITIONS

“University Funds” are all operating and non-operating revenues of the University.  For the purposes of this policy, University Funds also include grant funds managed or administered by the University, unless the terms of the grant contract clearly authorize a usage not consistent with this policy.  University Funds do not include funds from or belonging to the UConn Foundation.

“Sponsorships” include all situations wherein the University provides funds, goods or services to an outside organization in support of one or more activities, events or programs with the expectation of acknowledgment, recognition or promotion.  Sponsorships are discernable from donations in that Sponsorships provide a measurable benefit to the University, whereas donations are provided with no expectation of a measurable benefit to the University.

POLICY STATEMENT

I.                    Gifts

University Funds may not be used to purchase gifts for University employees or their families in recognition of holidays or personal events such as birthdays, birth or adoption of a child, marriages or bereavement. This restriction does not apply to:

  • Noncash items or benefits offered due to an employee’s status as a donor, student, or member of the general public.
  • Gifts given in recognition of employee achievements or milestones, in accordance with University-wide practices approved by Human Resources.

II.                  Social Functions

University Funds may not be used for social functions or parties attended solely or primarily by University employees such as holiday parties or summer outings.  In limited circumstances, University funds may be used for employee recognition, but only with the prior approval of the President, Provost, or their authorized delegates, or Executive Vice President for Administration and Chief Financial Officer who shall consider, among other factors, the employee’s contribution to the University.  In addition, University Funds may not be used to purchase alcoholic beverages.

The restrictions in this policy do not extend to business meals and meetings eligible for payment or reimbursement under the University’s Travel and Entertainment Policy (https://policy.uconn.edu/2020/04/29/travel-and-entertainment-policies-and-procedures/).

III.                Sponsorships

Sponsorships, like other uses of University Funds, must be supported by a clear business purpose and a benefit to the University.  University Funds may only be used for Sponsorships when the anticipated benefits of the Sponsorship equal or exceed the costs.   Benefits may be non-monetary and may include, for example, enhancement of the University’s reputation, recruitment benefits, advertising opportunities or increased visibility.  Sponsorships require the approval of the President, Provost (or their authorized delegates), or Deans.  Employees shall not authorize or approve the usage of University Funds for Sponsorships without documentation or a statement explaining the business purpose of the Sponsorship, including its anticipated benefit to the University.

IV.                Donations

Donations of University Funds are not permitted.

Nothing in this policy is intended to prohibit individual employees from using personal funds for any of the above reasons; however, employees must always comply with the gift rules articulated in the State Code of Ethics for Public Officials (http://policy.uconn.edu/2011/05/24/guide-to-the-state-code-of-ethics/).

Exceptions to this policy may be approved on a case-by-case basis by the President, Provost, and their authorized delegates.

ENFORCEMENT

The University will not reimburse employees for expenditures of personal funds in violation of this policy, and employees who expend University Funds in violation of this policy will be required to reimburse the University.  Additionally, 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 Conduct Code.

PROCEDURES/FORMS

University employees shall use their best judgment to expend University Funds only when justified with a business purpose and a clearly identifiable benefit to the University.  The act of requesting, using or approving any use of University Funds constitutes the employee’s official determination that the expense is justified by a business purpose and in the best interests of the University.  When evaluating whether an expenditure is appropriate, employees should consult with the appropriate University offices and departments.  Any uses of University funds not consistent with this policy should be rejected by the appropriate employee.

Specific procedures and forms will vary from department to department, as well as the applicable office or responsible for oversight of expenditures.

 

Members of the Bargaining Unit Medical Leave Guidelines

Posted on by
Title: Members of the Bargaining Unit Medical Leave Guidelines
Policy Owner: Department of Human Resources (Absence Management)
Applies to: Applicable members of the AAUP Bargaining Unit
Campus Applicability: Storrs, the 4 Regional Campuses, and UConn Law
Effective Date: June 27, 2023
For More Information, Contact Department of Human Resources (Absence Management)
Contact Information: (860) 486-3034 or hr@uconn.edu
Official Website: Faculty Leave of Absence | Human Resources

 

Faculty medical leaves have historically been at the discretion of the University and administered in accordance with the Article XIV, L, 4 of the By-Laws of the University of Connecticut (the “By-Laws”) titled “Sick Leave for Faculty With or Without Pay,” which provides that “[e]ach case is considered separately and involves careful consideration of length of service, nature of illness, and anticipated length of disability.” These guidelines are intended to clarify the By-Laws and provide better guidance and general parameters to University administrators in evaluating requests for medical leave.

These guidelines are for a bargaining unit member’s own long term illnesses only (e.g. federal and/or state FMLA qualifying medical leaves) and apply only to tenured and tenure-track faculty and non-tenure track bargaining unit members who are on multi-year appointments or annual appointment with at least three (3) years of service in a non-tenure track position. Absences for short-term illness and caregiver leave, and for members of the bargaining unit that are on temporary appointments will be administered at the school or departmental level. In no case shall a medical leave extend a temporary appointment beyond its end-date. For non-tenure track bargaining members not on a multiyear appointment, leave under this Appendix will cease on the member’s appointment end date. If the non-tenure track bargaining unit member is renewed for a consecutive appointment in the same position, the balance of leave under this Appendix may be extended into the new appointment with approval of the Dean and the Provost.

A. Bargaining unit members with Less than Three (3) Years of Service (up to six months paid sick leave)

  1. Bargaining unit members with less than three (3) years of service will be eligible to be paid for a qualifying medical leave under the federal FMLA and/or the state FMLA medical leave law, up to the period provided for in the medical certification, not to exceed six (6) months. [1] Sick leave must be supported by medical certification and be approved by the Department of Human Resources, with notification provided to the department head or equivalent official and the Dean.
  2. If after six (6) months of continuous leave the member of the bargaining unit is still medically unable to return to work, an extension of unpaid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions of medical leave after the initial six (6) months provided for in Paragraph A.1 shall be in conformity with the By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
    If the bargaining unit member with less than three years of service is an ARP participant and is eligible to collect long-term disability (LTD) benefits during a period of approved unpaid leave, the University will not supplement the LTD benefit.
  3. If medical leave has been exhausted and no extension has been approved, the bargaining unit member will be medically separated in good standing. Post-employment benefits will be determined by the rules of the retirement plan that the faculty member has elected.

 

B. Bargaining unit members with 3 to 6 Years of Service (up to twelve months paid sick leave)

  1. Bargaining unit members with 3 to 6 years of service will be eligible to be paid for a qualifying medical leave under the federal FMLA and/or the state FMLA medical leave law, up to the period provided for in the medical certification, not to exceed six (6) months. Sick leave must be supported by medical certification and be approved by the Department of Human Resources, with notification provided to the department head or equivalent official and the Dean.
  2. If after six (6) months of continuous leave the bargaining unit member is still medically unable to return to work, an extension of six (6) months paid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions of medical leave after the initial six (6) month period provided for in Paragraph B.1 shall be in conformity with the By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
    If the leave is approved as paid, and the bargaining unit member is an ARP participant, the leave will be converted to LTD leave in accordance with Article 19.G. The University will supplement the disability benefit so that the bargaining unit member receives the same rate of pay as if fully employed for six (6) additional months. If the leave is approved as paid, and the bargaining unit member is a SERS or Hybrid participant, they will be eligible for six (6) months of additional paid sick leave.
  3. If after one (1) year of continuous leave the bargaining unit member is still medically unable to return to work, an extension of unpaid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions of medical leave after the initial one (1) year period provided for in Paragraphs B.1 and B.2 shall be in conformity with By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
  4. If medical leave has been exhausted and no extension has been approved, the bargaining unit member will be medically separated in good standing. Post-employment benefits will be determined by the rules of the retirement plan that the bargaining unit member has elected.

 

C. Bargaining unit with 7 to 10 Years of Service (up to eighteen months of paid sick leave)

  1. Bargaining unit members with 7 to 10 years of service will be eligible to be paid for a qualifying medical leave under the federal FMLA and/or the state FMLA medical leave law, up to the period provided for in the medical certification, not to exceed six (6) months. Sick leave must be supported by medical certification and be approved by the Department of Human Resources, with notification provided to the department head or equivalent official and the Dean.
  2. If after six (6) months of continuous leave the bargaining unit member is still unable to return to work, an extension of six (6) months paid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions of medical leave after the initial six (6) month period provided for in Paragraph C.1 shall be in conformity with the By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
    If the leave is approved as paid, and the bargaining unit member is an ARP participant, the leave will be converted to LTD leave in accordance with Article 19.G. The University will supplement the LTD benefit so that the bargaining unit member receives the same rate of pay as if fully employed for six (6) additional months. If the leave is approved as paid, and the bargaining unit member is a SERS or Hybrid participant, they will be eligible for six (6) months of additional paid sick leave.
  3. If after one (1) year of continuous leave the bargaining unit member is still unable to return to work, an extension of six (6) months paid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions
    of medical leave after the initial one (1) year period provided for in Paragraphs C.1 and C.2 shall be in conformity with the By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
    If the leave is approved as paid, the University will continue to supplement the LTD benefit so that the bargaining unit member receives the same rate of pay as if fully employed for an additional six (6) months. If the leave is approved as paid, and the bargaining unit member is a SERS or Hybrid participant, they will be eligible for six (6) months of additional paid sick leave.
  4. If medical leave has been exhausted and no extension has been approved, the bargaining unit member will be medically separated in good standing. Post-employment benefits will be determined by the rules of the retirement plan that the bargaining unit member has elected.

 

D. Bargaining unit with More Than 10 Years of Service (up to twenty-four months paid sick leave)

  1. Bargaining unit members with more than 10 years of service will be eligible to be paid for a qualifying medical leave under the federal FMLA and/or the state FMLA medical leave law, up to the period provided for in the medical certification, not to exceed six (6) months. Sick leave must be supported by medical certification and be approved by the Department of Human Resources, with notification provided to the department head or equivalent official and the Dean.
  2. If after six (6) months of continuous leave the bargaining unit member is still unable to return to work, an extension of six (6) months paid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions
    of medical leave after the initial six (6) month period provided for in Paragraph D.1 shall be in conformity with the By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
    If the leave is approved as paid, and the bargaining unit member is an ARP participant, the leave will be converted to LTD leave in accordance with Article 19.G. The University will supplement the LTD benefit so that the bargaining unit member receives the same rate of pay as if fully employed for six (6) additional months. If the leave is approved as paid, and the bargaining unit member is a SERS or Hybrid participant, they will be eligible for six (6) months of additional paid sick leave.
  3. If after one (1) year of continuous leave the bargaining unit member is still unable to return to work, an extension of twelve (12) months paid sick leave may be requested with proper medical certification and is subject to the approval of the Dean and the Provost. Extensions
    of medical leave after the initial one (1) year period provided for in Paragraphs D.1 and D.2 shall be in conformity with the By-Laws (as set forth in Article 8.3) with an emphasis on the bargaining unit member’s length of service and the likelihood, based on acceptable medical evidence, that they will be able return to full employment.
    If the leave is approved as paid, the University will continue to supplement the LTD benefit so that the bargaining unit member receives the same rate of pay as if fully employed for the additional twelve (12) months. If the leave is approved as paid, and the bargaining unit member is a SERS or Hybrid participant, they will be eligible for twelve (12) months of additional paid sick leave.
  4. If medical leave has been exhausted and no extension has been approved, the bargaining unit member will be medically separated in good standing. Post-employment benefits will be determined by the rules of the retirement plan that the bargaining unit member has elected.

 

E. Maximum Continuous Medical Leave

Unless otherwise required by law, any continuous period of medical leave (paid, unpaid or a combination of paid/unpaid) shall not exceed two (2) years.

 

F. Concurrent Leaves and Entitlements

  1. All medical leaves under these guidelines shall run concurrently with federal FMLA and other legal entitlements, including ADA accommodations arranged through the Department of Human Resources.
  2. Bargaining unit members who are afforded paid time off under the collective bargaining agreement must use such time concurrently with any paid leave provided in accordance with this Appendix.

 

G. Reinstatement of Bargaining unit Members Who Are Medically Separated In Good Standing

If a bargaining unit member who is medically separated in good standing becomes medically able to return to University employment, they shall be eligible for rehire. Rehire shall be subject to approval of the Dean and the Provost. In determining whether to rehire the bargaining unit member, emphasis shall be placed on the qualification of the bargaining unit member at the time of rehire; the likelihood that the bargaining unit member will be able to resume teaching, scholarship and service at a level commensurate with their position; and the needs of the University, School or College, and Department.

 

H. Calculation of Supplemental Disability Pay

For bargaining unit members enrolled in the ARP and eligible to receive a disability supplement in accordance with these guidelines, the University shall supplement the disability insurance such that the bargaining unit member’s bi-weekly gross pay (disability benefit plus
supplement) while receiving the supplement equals the bi-weekly gross pay the bargaining unit member would have received if they were fully employed less the ARP contribution being paid by the disability carrier on behalf of the bargaining unit member.

 

I. Multiple Access to Paid Sick Leave

Bargaining unit members may only access the paid medical leave benefits described in this policy once every three (3) years unless otherwise approved by the Dean and the Provost, with an emphasis on whether the total amount of paid sick leave taken in any three (3) year period is less than the maximum paid sick leave available to the bargaining unit member under these guidelines.

Whenever a bargaining unit member utilizes paid sick leave under these guidelines, the bargaining unit member’s years of service shall be determined from the bargaining unit member’s University hire date. If the bargaining unit member accesses the benefit a second or subsequent time within the three (3) year period from the date the bargaining unit member initially accessed the paid sick leave, then the bargaining unit member shall be limited to the remaining paid sick leave eligibility for that three (3) year period.

If a bargaining unit member is not eligible for paid sick leave in accordance with this paragraph, they still may take as unpaid any medical leave to which they are entitled in accordance with their rights under federal and/or state medical leave laws.

 

REFERENCES

[1] The term “months” is intended to mean calendar months.

 

POLICY HISTORY

Revised and approved July 1, 2021

Familial Relationships and Teaching, Policy on

Posted on by
Title: Policy on Familial Relationships and Teaching [1]
Policy Owner: Office of the Provost
Applies to: Faculty, Instructors, Students
Campus Applicability: All Programs at all campuses, except UConn Health
Effective Date:  May 15, 2015
For More Information, Contact Office of the Provost
Contact Information: (860) 486-4037
Official Website:  http://provost.uconn.edu/

 

Scope

This policy governs conflicts of interest in teaching that may arise due to familial relationships among members of the University community.

Definitions

Familial Relationships is defined as a relative: spouse, child, step-child, child’s spouse, parent, brother, sister, brother-in-law, sister-in-law, dependent relative or a relative domiciled in the employee’s household.

Members of the University Community shall include any University faculty member, staff member, or student.

Policy Obligations

The following principles should guide members of the University community when a conflict of interest may arise due to a familial relationship in teaching.

  1. Members of the University community are prohibited from teaching (or enrolling in) a course when the instructor and a student have a familial relationship.
  2. When multiple sections of a course are offered, students must enroll in a section that is not taught by a relative.
  3. If a course, and concurrent and future sections of a course, is only taught by the familial relation, a management plan shall be developed and approved before the course begins. The management plan must ensure that the instructor will not directly or solely grade or review the student’s academic progress. In general, an independent grader or second reviewer will be identified to grade or review the student’s academic progress. The management plan must also assure that the student is treated equitably with regard to assignments and other course activities (i.e. participation, workload, deadlines, scope of assignments, etc.). The instructor and student shall develop the management plan in consultation with the instructor’s department head or supervisor. The Dean and Vice Provost for Academic Affairs must review and approve the management plan prior to the first day of classes.

[1] Some content used here relies on the University of Minnesota’s “Nepotism and Personal Relationships” (http://regents.umn.edu/sites/regents.umn.edu/files/policies/Nepotism%26Personal.pdf).