Finance

Finance Capital Projects Policies and Procedures Manual

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Title: Finance Capital Projects Policies and Procedures Manual
Policy Owner: Finance
Applies to: Staff and Faculty on Storrs and Regional Campuses and UConn Health
Campus Applicability: Storrs, Regionals, and UConn Health
Effective Date: June 13, 2023
For More Information, Contact Budget, Planning and Institutional Research – Project Accounting/Accounting Office
Contact Information: (860)486-6288/BPIR@uconn.edu
(860)486-1366/AccountingOffice@uconn.edu
Official Website: https://bpir.uconn.edu/

The Finance Capital Projects Policies and Procedures Manual are available for download as a PDF.

 

POLICY HISTORY

Revisions:  June 13, 2023 (Approved by BGE, President, and Senior Policy Council); September 11, 2019; February 2015

 

Tuition Discount Policy

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Title: Tuition Discount Policy
Policy Owner: Office of the Provost
Applies to: Outside Entities Meeting the Criteria within the Policy
Campus Applicability: Storrs and Regional Campuses
Effective Date: June 28, 2012
For More Information, Contact Office of the Provost
Contact Information: (860) 486-4037
Official Website: http://provost.uconn.edu

The University of Connecticut recognizes that establishing partnerships with other entities may
be beneficial to the University and enhance the University’s ability to fulfill its mission. One
form of partnership can be a relationship in which another entity sponsors the education of
multiple University students, particularly when that sponsorship is coupled with other
relationships between the University and the entity.

Accordingly, it is the policy of the Board of Trustees to permit the University to enter into
Tuition Discount Agreements with other entities provided that such Agreements meet the following
criteria:

  • Parties: The University of Connecticut and any business or nonprofit entity.
  • Discount Permitted: Up to five percent (5%). The Agreement may specify a maximum total
    dollar discount for the life of the Agreement.
  • Discount applicable to: Graduate Tuition and Fee Equivalents approved by the Board of Trustees.
  • Programs eligible: Regular academic degree programs offered by any school or department of the
    University but not including undergraduate programs.
  • Minimum Expenditure: In order to be eligible, the contracting entity must have spent at least one
    million dollars in a prior fiscal year in Tuition and Fee Equivalents for graduate and
    undergraduate education. The Tuition Discount Agreement can then be entered into for the following
    fiscal year.
  • Maximum Duration: Agreements shall be for a maximum term of two (2) years but may be renewed with
    Board approval. The Agreement may provide for a limit on the total aggregate dollar discount for
    the life of the Agreement.
  • Early termination: Each Agreement may provide that if the amount of Tuition and Fee Equivalents
    incurred by the contracting entity before discount falls below one million dollars in a particular
    year or on a rolling average basis, that the University may cancel the Agreement for subsequent
    years.
  • Application of the discount: The discount will be applied at the time of registration. The
    Agreement shall provide a mechanism for assuring that the tuition has been paid by the contracting
    entity.
  • In determining whether or not to enter into an Agreement, the University will take into account
    whether the entity has demonstrated a commitment to support the University through past
    philanthropy, providing student internships, collaboration on research, entering into fee for
    service arrangements or in other ways.

All such Agreements must be approved by the Board of Trustees before they are effective. Nothing in
this policy creates a right in any entity, nor an obligation on the University, to enter into such
Agreement. The Board of Trustees retains sole discretion with regard to all proposed
Agreements.

Prevention and Reporting of Fraud and Fiscal Irregularities

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Title: Prevention and Reporting of Fraud and Fiscal Irregularities
Policy Owner: Executive VP for Administration and Chief Financial Officer
Applies to: Faculty, Staff, and Others
Campus Applicability: All
Effective Date: March 23, 2016
For More Information, Contact: EVP for Administration and CFO: (860) 486-3455
UConn Health CFO: (860) 679-3162
Audit and Management Advisory Services (860) 486-4526
Official Website: http://evpacfo.uconn.edu/ 

PURPOSE

The University of Connecticut is committed to upholding the highest standards of honest behavior, ethical conduct, and fiduciary responsibility with respect to all assets of the University and assets entrusted to the University, including all funds, resources, and property. The purpose of this policy is both to inform the University community of each member’s responsibility to safeguard University resources and to establish standards for the reporting of suspected or known fraud or fiscal irregularities to the appropriate officials.

This policy applies to all units of the University including Storrs and the Regional Campuses, Professional Schools and UConn Health.  It applies to members of the University community including faculty, staff, contractors, business associates, and others involved in the activities of the University.

DEFINITIONS

Fraud and fiscal irregularities generally involve an intentional or deliberate act, omission or concealment with the intent of obtaining an unauthorized benefit, such as money, property or other personal or business advantage, by deception or other unethical means.  Examples include, but are not limited to:

  • Misappropriation, misapplication, removal, or concealment of University property
  • Forgery, falsification, or alteration of documents and/or information (e.g., checks, bank drafts, deposit tickets, promissory notes, time cards, travel expense reports, contractor agreements, purchase orders, etc.)
  • Theft or misappropriation of funds, securities, supplies, inventory, or any other University assets including furniture, fixtures, equipment, data, and intellectual property
  • Billing customers, patients and third party payers for services when it is known that the services were not provided
  • Authorizing payment to vendors when it is known that the goods were not received or services were not performed
  • Misuse of University facilities, such as vehicles, telephones, mail systems, or computer-related equipment
  • Engaging in bribery, accepting kickbacks, or seeking unauthorized rebates
  • Actions related to concealing or perpetuating any fraud or fiscal irregularity


POLICY STATEMENT

All members of the University community are responsible for safeguarding University resources in their units and for ensuring that those resources are used for authorized purposes and in accordance with University rules and policies, and as required by applicable laws. In addition, all members of the University community should promptly report any known or suspected fraudulent activity or fiscal irregularities involving University and affiliated entity funds resources, property, or employees. Each unit manager should be familiar with the types of improprieties that might occur in the manager’s area of responsibility and ensure that all reasonable internal controls are in place and operating effectively to prevent and detect the occurrence of fraudulent activity or fiscal irregularities.

Nothing in this policy relieves faculty and staff from reporting responsibilities under professional codes of conduct, licensing, or other requirements applicable to them individually or to their function.

Process for Reporting Detected or Suspected Fraud and Irregularities

Individual Reporting Obligations

All members of the University community are obligated to report any known or suspected fraudulent activity or fiscal irregularities. Generally, an individual may discuss the concern directly with a supervisor. However, in the event that the individual is not comfortable speaking with the supervisor or is dissatisfied with the supervisor’s response, the individual should report the concern directly to Audit and Management Advisory Services (AMAS) and/or Campus Police.  Individuals should not investigate suspected fraudulent activity independently.

Individuals who wish to report suspected fraudulent activity or fiscal irregularities anonymously may utilize the University’s REPORTLINE using the contact information below. The REPORTLINE is operated by a private (non-University) company. No effort is made to identify the person reporting and no trace of the call is performed. Information received is provided to Audit and Management Advisory Services for review and appropriate action. This service is available 24 hours a day, 7 days a week and is staffed by independent specialists trained to obtain complete and accurate information in a confidential manner. To contact the REPORTLINE:

Phone:  All University campus including UConn Health: Phone: 1-888-685-2637
Web reporting address: https://uconncares.alertline.com/gcs/welcome

At a minimum, individuals should provide key information such as a description of the incident, the time frame in which the incident occurred, and names of individual(s) involved. Audit and Management Advisory Services will make every effort to handle all information received in a confidential manner, to the extent permitted by law.

University policy prohibits retaliation when an individual reports, in good faith, suspected fraudulent activity or fiscal irregularities to any supervisor, faculty, administrator, AMAS, University Police, the REPORTLINE, or any appropriate agency outside of the University. An individual who believes he or she has been subjected to retaliation, should contact AMAS immediately.  This policy is not intended to preclude the reporting of suspected fraudulent activity or fiscal irregularities to appropriate external authorities[1].

Institutional Obligations:

Departments are obligated to notify Audit and Management Advisory Services of suspected or known fraudulent activity or fiscal irregularities as soon as they become known.   AMAS will evaluate the information provided and determine an appropriate strategy for investigating and resolving the allegation.   Additional University officials may be asked to conduct or participate in an investigation as appropriate. When sufficient facts and circumstances exist to establish a reasonable suspicion that fraudulent activity or fiscal irregularity has occurred, AMAS will consult with the Office of the General Counsel (Storrs, Regional Campuses and the Professional schools), Senior Counsel (UConn Health) and other University officials regarding federal, state and other external reporting requirements.

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.

[1]Other Reporting Options:

  • State Auditors of Public Accounts

The Whistle Blower Act, Section 4-61dd of the Connecticut General Statutes, authorizes the Auditors of Public Accounts to receive information concerning matters involving corruption, unethical practices, violation of State laws or regulations, mismanagement, gross waste of funds, abuse of authority or danger to the public safety occurring in any State department or agency. Upon receiving such information the Auditors are required to review such matter and report their findings and any recommendations to the Attorney General. The Auditors shall not, after receipt of any information from a person under the provisions of this section, disclose the identity of such person without his/her consent unless the Auditors determine that such disclosure is unavoidable during the course of the review. Complaints may be filed with the State Auditors:

    • by calling (959) 710-5605 or toll free at (800) 797-1702
    • by email at wbcomplaints@ctauditors.gov, or
    • in writing to:
      • Auditors of Public Accounts 165 Capitol Avenue, Hartford, CT 06106 Attention:  Maura Pardo, Administrative Auditor
  • Federal False Claims Act (31 U.S.C. § 3729-3733)

This act permits a person with knowledge of fraud against the federal government to file a lawsuit on behalf of the government against those that committed the fraud. The person filing the lawsuit is also known as the “whistleblower” or “qui tam” plaintiff. The “qui tam” plaintiff must notify the United States Department of Justice (DOJ) of all information regarding the fraud. If the DOJ takes the case and fraud is proven the “qui tam” plaintiff is entitled to a portion of the money recovered by the federal government. Under the False Claims Act the “qui tam” plaintiff is protected from retaliation that may result from his or her involvement in the case. This is known as Whistleblower Protection.

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:

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)

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

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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.

 

Controllable Property

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Title: Controllable Property
Policy Owner: Accounting Office; Inventory Control
Applies to: Faculty, Staff and Designated Affiliates
Campus Applicability: Storrs and Regional Campuses
Effective Date: March 29, 2023
For More Information, Contact Associate Controller & Director of Accounting
Contact Information: (860) 486-1366
Official Website: http://accountingoffice.uconn.edu

PURPOSE

To ensure compliance with the State of Connecticut Property Control manual. State agencies must identify, tag, maintain a written listing, and regularly inventory Controllable Property.

APPLIES TO

This policy applies to Faculty, staff and designated affiliates of the University of Connecticut.

DEFINITIONS

Controllable Property: Assets with a unit value under $5,000 that have an expected useful life of one or more years and are easily portable and/or not physically secured, contain new technology or sensitive data, are theft-prone, and/or are adaptable for personal use.  Such items may include, but are not limited to:

  • All computers and other equipment that may contain sensitive data (e.g., desktops, laptops, tablets; Netbooks, cellular phones, smartwatches, etc.)
  • Other items with a value of $500 to $4,999.99 such as televisions, projectors, and monitors, scanners, printers, and cameras.

Custodian: The custodian of a Controllable Property asset is the employee who is in possession of the equipment on a day-to-day basis and/or whose NetID is associated with the asset record.

POLICY STATEMENT

Custodians must confirm possession of their assigned Controllable Property annually in compliance with the Controllable Property Asset Management Procedures. Disposal of Controllable Property must be performed in compliance with University Policy. [1]

[1] See the Policy on Surplus Property

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 Conduct Code.

PROCEDURES/FORMS

Contact InventoryControl@uconn.edu for assistance in determining whether an item is considered Controllable Property.

Store Controllable Property in an environmentally suitable, secure location. Do not leave Controllable Property unsecured.

Custodians must notify University Police immediately if Controllable Property is stolen. In the event of any loss or damage, Custodians must complete the Accountability Form (C1).

For more information, refer to the Inventory Control website:  https://accountingoffice.uconn.edu/inventory-control/

POLICY HISTORY

Policy created:  August 19, 2014

Revisions:  March 13, 2023 (Approved by Senior Policy Council); Review and editorial revisions August 27, 2021

Payroll Requirements for Separating Employees

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Title: Payroll Requirements for Separating Employees
Policy Owner: Payroll Department
Applies to: Hiring Departments and Employees
Campus Applicability: UConn Storrs and Regional Campuses
Effective Date: August 19, 2014
For More Information, Contact Payroll Department
Contact Information: (860) 486-2423
Official Website: http://www.payroll.uconn.edu/

 

REASON FOR POLICY

The purpose of this policy is to ensure the timely and reasonable submission of required documentation to produce accurate final payments to separating employees.  This is critical to meeting payroll processing deadlines; complying with federal and state regulations and reporting requirements; avoiding overpayments; and minimizing additional, unscheduled work for Payroll and hiring departments.

APPLIES TO

This policy applies to all hiring departments and employees at the University of Connecticut, Storrs and Regional Campuses.

DEFINITION

A ‘Separating Employee’ is defined as an individual who is leaving employment with the University of Connecticut and requires a final paycheck.  Common reasons for separation include, but are not limited to, resignation; retirement; non-continuation of an end-dated appointment; and transfer to another state agency.

POLICY STATEMENT

The University is required to produce payments to employees in accordance with the General Statues of Connecticut, Chapter 34, Sec. 3-119, guidelines set by the Connecticut Department of Labor, and Collective Bargaining Agreements.  In addition, the University is required to adhere to the Core-CT payroll processing schedule set forth by the Office of the State Comptroller.

The Payroll Department has established deadline schedules by which required documentation for separating employees must be received to ensure timely and accurate payments.  The deadline schedules are posted on the homepage of the Payroll Department website at www.payroll.uconn.edu. Departments or units have an obligation to submit complete and on-time documentation for the separated employee.  All obligations of the employee, such as travel advances that are unaccounted for, will be withheld from the final paycheck, provided prior authorization was obtained in writing from the employee.

If late notification or an extenuating circumstance prevents an employing department from meeting a posted deadline, it is critical that the department contact Payroll immediately.  Failure to do so may result in an overpayment to a separating employee, as well as an over-expenditure of funds from a department’s budget(s).

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 Conduct Code.

PROCEDURES/FORMS

Documentation requirements (electronic and/or paper) for separating employees can also be found on the Payroll Department website at the following links:

Payroll Employee Population Link
Unclassified Faculty; Postdocs; Management and Confidential; and Professional Staff http://www.payroll.uconn.edu/PY/for_departments/unclassified_requireddocs.html
Classified Clerical; Maintenance; and Fire and Police Staff http://www.payroll.uconn.edu/PY/for_departments/classified_requireddocs.html
Special Adjunct Faculty; Summer Research/Teaching; Rehired Retirees; and other Seasonal Professional Appointments http://www.payroll.uconn.edu/PY/for_departments/special_requireddocs.html
Graduate Assistant Graduate Teaching Assistants; Graduate Research Assistants; and Prestigious Internships http://www.payroll.uconn.edu/PY/for_departments/graduate_requireddocs.html
Student Student Labor and Student Work Study http://payroll.uconn.edu/PY/for_departments/student_requireddocs.html

Payroll Requirements for Active Employee Changes

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Title: Payroll Requirements for Active Employee Changes
Policy Owner: Payroll Department
Applies to: Hiring Departments and Employees
Campus Applicability: UConn Storrs and Regionals
Effective Date: August 19, 2014
For More Information, Contact Payroll Department
Contact Information: (860) 486-2423
Official Website: http://www.payroll.uconn.edu/

REASON FOR POLICY

The purpose of this policy is to ensure the timely and reasonable submission of required documentation to produce on-time, accurate payments to active University employees who have a change in the terms of their employment.  This is critical to meeting payroll processing deadlines; complying with federal and state regulations and reporting requirements; maintaining employee satisfaction; and minimizing additional, unscheduled work for Payroll and hiring departments.

APPLIES TO

This policy applies to all hiring departments and employees at the University of Connecticut, Storrs and Regional Campuses.

DEFINITION

“Active employee changes” include, but are not limited to, the following types of transactions that may occur over the lifecycle of an individual’s employment:

  • Continuations/End Date Changes;
  • Employment Changes (including changes to Title, Salary, Appointment, Department, Percentage of Employment, etc);
  • Funding Changes;
  • Reclassifications

POLICY STATEMENT

The University is required to produce payments to employees in accordance with the General Statues of Connecticut, Chapter 34, Sec. 3-119, guidelines set by the Connecticut Department of Labor, and Collective Bargaining Agreements.  In addition, the University is required to adhere to the Core-CT payroll processing schedule set forth by the Office of the State Comptroller.

The Payroll Department has established deadline schedules by which required documentation must be received to ensure timely and accurate payments, and compliance with applicable laws.  The deadline schedules are posted on the homepage of the Payroll Department website at www.payroll.uconn.edu. Departments or units responsible for hiring have an obligation to obtain and complete required documentation within the deadlines prescribed at the above website.

Required documentation received in the Payroll Department after the posted deadline for the transaction effective date may not be processed within the current payroll cycle.  The decision will be based on the circumstances resulting in the late submission, as well as the internal biweekly payroll processing schedule.  Any exceptions to this policy will be strictly limited, and at the discretion of the Payroll Department.

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 Conduct Code.

PROCEDURES/FORMS

Documentation requirements (electronic and/or paper) for changes to the status of active employees can also be found on the Payroll Department website at the following links:

 

Payroll Employee Population
Unclassified Faculty; Postdocs; Management and Confidential; and Professional Staff
Classified Clerical; Maintenance; and Fire and Police Staff
Special Adjunct Faculty; Summer Research/Teaching; Rehired Retirees; and other Seasonal Professional Appointments
Graduate Assistant Graduate Teaching Assistants; Graduate Research Assistants; and Prestigious Internships
Student Student Labor and Student Work Study

Paid Sick Leave for Certain Temporary Employees

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Title: Paid Sick Leave for Certain Temporary Employees
Policy Owner: Payroll Department
Applies to: Temporary Classified Employees
Campus Applicability:  Storrs and Regional Campuses
Effective Date: August 19, 2014
For More Information, Contact Payroll Department
Contact Information: (860) 486-2423
Official Website: http://www.payroll.uconn.edu/

 

REASON FOR POLICY

The purpose of this policy is to comply with CT Public Act 11-52 (CGS 31-57r through 31-57w), and administer paid sick leave to certain classified employees who meet the definition of ‘service worker’, but do not receive paid sick leave under a collective bargaining agreement.

APPLIES TO

This policy applies to certain temporary classified employees at the University of Connecticut, Storrs and Regional Campuses who meet the definition of ‘service worker’ but do not receive paid sick leave under a collective bargaining agreement.

DEFINITION

A ‘temporary position’, as defined by the State Personnel Act, is a position in state service (classified) which is expected to require the services of an incumbent for a period not in excess of 6 months.  A ‘service worker’ is defined under CT Public Act 11-52 (CGS 31-57r through 31-57w): http://www.ctdol.state.ct.us/wgwkstnd/SickLeaveLaw.htm

POLICY STATEMENT

Accrual of Paid Sick Leave:

Certain temporary classified employees of the University of Connecticut begin to accrue paid sick time beginning January 1, 2012 or upon hire, whichever is later, under the following terms and conditions:

  1. Eligible employees accrue one hour of paid time for every forty (40) hours actually worked.
  2. The maximum accrual of sick time hours is forty (40) hours per calendar year.
  3. Eligible employees may carry over a maximum of 40 hours of unused sick time from one calendar year into the next but the employee shall not be able to use more than the forty (40) hours in one (1) calendar year.
  4. Under no circumstances are eligible employees entitled to any payout for accumulated but unused sick leave.

Use of Paid Sick Leave:

Eligible employees shall be entitled to the use of accrued paid sick leave upon the completion of their 680th hour of employment with the University measured from January 1, 2012 or from their date of hire if hired after January 1, 2012.

Sick leave must be taken in one (1) hour increments

A maximum of forty (40) hours of sick leave may be used each calendar year.

Sick leave may only be used in lieu of previously scheduled hours.

Pay Rate for Sick Leave:

Sick leave will be paid at the employee’s normal hourly rate at the time the leave is taken.

Reasons for Use of Paid Sick Leave:

Eligible Employees may only use accrued paid sick leave for the following reasons:

  1. To treat the employee’s own illness, injury or health condition; for the medical diagnosis, care or treatment of the employee’s own mental illness or physical illness, injury or health condition; or for preventative medical care for the employee.
  2. For the treatment of the employee’s child’s or spouse’s illness, injury or health condition; the medical diagnosis, care or treatment of an employee’s child’s or spouse’s mental or physical illness, injury or health condition; or preventative medical care for the employee’s child or spouse.
  3. For the employee’s treatment or services related to the employee’s status as a victim in a family violence or sexual assault incident, for the medical care or psychological or other counseling for physical or psychological injury or disability; to obtain services from a victim services organization; to relocate due to such family violence or sexual assault; to participate in any civil or criminal proceedings related to or resulting from such family violence or sexual assault.

Notice:

If the reason for the sick leave is foreseeable, the employee must provide at least seven (7) days advance notice to their supervisor,or if the leave is not foreseeable, the employee must provide as much notice as is practicable.

Documentation:

Documentation signed by a health care provider indicating the need for the number of days taken may be required by the employee’s supervisor for leaves of three (3) or more consecutive days.

 

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 Conduct Code.

PROCEDURES/FORMS

Resources to assist hiring departments in administering this policy can be found on the Payroll Department website at http://www.payroll.uconn.edu