Office of the Provost and Executive VP for Academic Affairs

Student Discipline, Dismissal and Appeal Process from Professional/Clinical Programs, Procedures on

Title: Student Discipline, Dismissal and Appeal Process from Professional/Clinical Programs, Procedures on

Procedures Owner: Office of the Provost

Responsible Office: Academic Programs with Professional/Clinical Programs

Effective Date: September 1, 2019

Contact Information: Provost’s Office; 860 486-4037

Official Website: http://www.provost.uconn.edu


Purpose:
To define a fair and uniform process for disciplining or dismissing students from professional/clinical programs based on failure to adhere to professional standards of conduct.

Procedures Statement: Each professional school or program maintains its own professional standards of conduct. These standards of conduct are often developed in accordance with stated norms for professional conduct, whether as required by accrediting bodies or otherwise.  Each program’s professional standards of conduct should be clearly stated in the student handbook. A student’s failure to adhere to those standards may result in discipline, including and up to, dismissal from the program.

Applicability:  These procedures apply to each professional school or program at Storrs and Regional Campuses, except those falling under the purview of the Graduate School.  Graduate programs falling under the purview of the Graduate school should follow the Graduate School’s procedures.  See https://grad.uconn.edu/policy/.

ALLEGED VIOLATIONS OF PROFESSIONAL STANDARDS OF CONDUCT

Any student believed to have violated one or more of a program’s professional standards of conduct shall be provided a written description of the alleged violation(s), with a copy to the Dean and program director, or designees. The written notice need only have sufficient detail to inform the student of the alleged violation(s), the provisions of the professional standards believed to have been violated and the potential consequences to the student.[1] Such notice will be made by email to the student’s official University email address and shall be deemed received by the student on the day it was sent.

Any student who has been suspended or removed from a clinical placement as a result of the alleged violation(s) risks being unable to complete the clinical component of their current course within the required timeframe and receiving a failing grade. Such students are strongly encouraged to respond as quickly as possible to ensure a timely resolution, increase the student’s chances for securing an alternative clinical placement and, in turn, complete the clinical component within the required timeframe.

The student shall have five business days to respond in writing to the notice of violation(s) and request a conference to review the alleged violations.

The Program Director or individual in an equivalent position shall conference with the student as soon as is practicable, but not more than ten business days of receipt of the student’s response. A student may, at their own risk, request additional time to schedule a conference.

Failure to Respond or Conference: If the student fails to respond or participate in conference within 15 business days of the notice being received, the Program Director or individual in an equivalent position shall determine and impose disciplinary action without need for a hearing. In such cases, the student has no right to appeal. The 15 business day time limit shall be extended if a request for additional time is granted.

Conference: Program Director will review the professional standards alleged to have been violated with the student and the disciplinary action deemed appropriate to impose in response to the violation(s).  The student may consult with a present support person, but that person may not actively participate in the conference. A student should choose a support person whose schedule allows for their participation in the conference because delays will not be allowed due to the scheduling conflicts of a support person. At the conclusion of the conference, the student shall:

  1. Sign an acknowledgment stating that the student committed the alleged violation(s) and agrees with the imposed disciplinary action. In such cases the discipline shall be imposed without need for a hearing and the student has no right to appeal.

or

  1. Contest the alleged violations and/or associated discipline. In such cases, the Program Director will schedule a hearing as soon as is practicable but not more than ten business days of conferring with the student. The Program Director may extend the time in which to hold a hearing based on extenuating circumstances. The student will be notified of the date, time and location of the hearing via university email.

HEARING

A hearing body shall be assembled by the School, College, Department, or Program, as appropriate. The hearing body shall consist of one or more University employees that were not directly involved in the incident(s) from which the alleged violation(s) arose. In the event that the hearing body consists of more than one employee, a chairperson for the hearing body shall be appointed.

The purpose of the hearing is to allow for a fair and impartial review of the information to determine whether the student has violated one or more of the program’s professional standards of conduct and, if so, the appropriate discipline that should be imposed.  Hearings should be conducted in private. The hearing is not a court proceeding and the hearing body is not bound by rules of evidence.

The student shall have the right to:

  • Propose witnesses. At least two business days in advance of the hearing, the student should provide the hearing body’s designee with a list of names and a brief summary of the information expected to be presented by each witness. It is the responsibility of the student to notify the witnesses of the date, time and location of the hearing.  The hearing body chair has the discretion to limit the number of witnesses who may appear before the hearing body (for example, due to relevancy, redundancy, etc.), but in exercising that discretion must allow for a fair and impartial review of the allegations.
  • Submit written or other information for the hearing body’s consideration. At least two business days in advance of the hearing, the student should submit to the hearing body’s designee any documentary or other evidence that the student wishes the hearing board to consider. Absent exceptional circumstances, the hearing body will not consider information submitted beyond this deadline.
  • Be notified within two business days of the hearing of the identity of any witnesses who have been called by the hearing body to present information during the hearing.
  • Be provided copies within two business days of the hearing of any written or other information the hearing body intends to consider at the hearing, when such information is known to the hearing body prior to the commencement of the hearing, including any prior conduct history of the student that may be considered for the purpose of determining the appropriate discipline.
  • Be accompanied by a support person. The student may consult the support person, but that person may not actively participate in the hearing. A student should choose a support person whose schedule allows attendance at the scheduled date and time for the hearing because delays will not be allowed due to the scheduling conflicts of a support person.

      After hearing from the witnesses and considering all other information presented to the hearing body, the hearing body shall deliberate.  A decision by the hearing body that a student has violated one or more professional standards must be based on a preponderance of the evidence (i.e. it is more likely than not that the student violated the standard(s)).

      The hearing body shall notify the student in writing of its decision within five business days of the hearing.  The notice shall contain sufficient detail to explain the basis of the hearing body’s decision. In deciding upon discipline, the hearing body may consider prior conduct history of the student. Such notice will be made by email to the student’s official University email address and deemed received by the student on the day it was sent.

      Appeal Procedures

      The decision of the hearing body may be appealed by the student to the program’s Dean or designee. Any such appeal must be made in writing within five business days of the student’s receipt of the written decision. The sole grounds for appeal are:

      • A claim of error in the hearing procedures that substantially affected the decision;
      • A claim of new information material to the matter that was not known and could not reasonably have been known at the time of the hearing;
      • On a claim of substantive error arising from misinterpretation of information presented at the hearing.

      The student’s appeal must identify at least one of the three grounds for review and provide sufficient detail to understand the basis for the request. Mere disagreement with the hearing body’s decision is not sufficient grounds for appeal.

      Within five business days of receipt of the appeal, student will be notified of the decision on the appeal, which may include:

      • Upholding the decision of the hearing body
      • Reversal of the hearing body’s decision
      • Modification of the discipline
      • Remand to the hearing body if the Dean/designee deems necessary to consider new information or to correct an error in the hearing procedure

      The decision of the appellate body is final.

      In addition, students are subject to the Student Code (https://community.uconn.edu/the-student-code-preamble/). Any suspected violations of the Student Code will be reported to the Office of Community Standards.

      Undergraduate students in professional/clinical programs: Undergraduate students dismissed from a clinical or professional program are not necessarily dismissed from the University.

      Post-baccalaureate/certificate programs: Typically, students dismissed from post-baccalaureate (e.g. Certificate) programs that do not fall under the purview of Graduate School are de facto dismissed from the University.

       

      [1] All proceedings and timeframes herein may be suspended at the discretion of the Program Director during the pendency of any investigation or proceeding undertaken by the Office of Community Standards related to the same conduct.  Following resolution of any the student code matter, the Program Director may elect to proceed under these procedures.

      UConn’s NAGPRA Procedure

      University of Connecticut NAGPRA Procedures:

      The Provost will designate one or more persons at the University to help administer the University’s compliance obligations under NAGPRA.  That person(s) is referred to as the “NAGPRA Coordinator(s)” for purposes of these procedures. The NAGPRA Coordinator will be responsible for working in close consultation with lineal descendants and Native American and Native Hawaiian organizations in identifying any Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony that are maintained by the University, and on determinations of cultural affiliation and repatriation of Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony, that are part of the University’s collections.

      NAGPRA Review Group

      The Provost will establish a NAGPRA review group to assist the NAGPRA Coordinator in the administration of the University’s compliance obligations under NAGPRA and to report recommendations on cultural affiliation and repatriation to the Provost.  This review group will be chaired by an appointee designated by the Provost and will include the State Archaeologist, members from the Department of Anthropology and the Connecticut State Museum of Natural History and other offices at the University who maintain human remains, funerary objects, sacred objects, or objects of cultural patrimony.  The representatives of the review committee will be responsible for communicating and involving the departments, museums and other University offices they represent on matters relating to the University’s compliance obligations under NAGPRA.

      Use of Human Remains in Teaching and Research

      The NAGPRA review group must be notified of any teaching or research being conducted at the University or by faculty or staff from the University that involves the use of Native American or Native Hawaiian human remains.

      NAGPRA Collections

      The NAGPRA Coordinator will work with the NAGPRA review group and departments, museums and other University offices to help maintain a centralized record of all Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University, such record will include the location(s) of the relevant items and any NAGPRA-related reports or communications relating to such items.

      NAGPRA Reporting & Process Initiation

      The NAGPRA Coordinator will inform the NAGPRA review group and the Provost upon becoming aware of any Native American and Native Hawaiian human remains and cultural items maintained by the University that were not previously reported under NAGPRA.  The NAGPRA Coordinator will initiate a NAGPRA process for any Native American and Native Hawaiian human remains and cultural items maintained by the University.  This will include consulting with lineal descendants and Native American and Native Hawaiian organizations prior to making any recommendation as to cultural affiliation or repatriation.  The NAGPRA Coordinator must consult with the NAGPRA review group and the Provost’s office prior to completing a summary or inventory under NAGPRA.

      Cultural Affiliation Recommendations

      The NAGPRA Coordinator will make a proposed recommendation of cultural affiliation, when appropriate, for any Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University to the NAGPRA review group.  The NAGPRA review group will review and evaluate such recommendations.

      The chair of the NAGPRA review group will submit a proposed recommendation of cultural affiliation, reflecting the initial recommendation provided by the NAGPRA Coordinator and the comments of the NAGPRA review group, to the Provost.  The Provost is the only University official authorized to make determinations of cultural affiliation under NAGPRA with respect to Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University.

      Repatriation Recommendations

      The NAGPRA Coordinator will be responsible for identifying appropriate claimant(s) and making a proposed recommendation of repatriation, when appropriate, for any Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University to the NAGPRA review group.  The NAGPRA review group will review and evaluate such recommendations.

      The chair of the NAGPRA review group will submit a proposed recommendation of repatriation, reflecting the initial recommendation provided by the NAGPRA Coordinator and the comments of the NAGPRA review group, to the Provost.  The Provost is the only University official authorized to make a recommendation of repatriation under NAGPRA with respect to Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University.

      Tuition Discount Policy

      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.

      Endowed Professorship Appointment and Renewal Process

      Title: Endowed Professorship Appointment and Renewal Process
      Policy Owner: Office of the Provost
      Applies to: Faculty, Staff
      Campus Applicability:  All Schools and Colleges at All Campuses
      Effective Date:  April 16, 2015
      For More Information, Contact The Office of the Provost
      Contact Information: (860) 486-4037
      Official Website:

       

      Endowed Chairs and Endowed Professorships

      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.

      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 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 with which the professorship is associated to the Provost and Executive Vice President for Academic Affairs, who will decide whether to endorse the recommendation and forward it to the Board of Trustees for approval.
      • In making a recommendation to the Provost the Dean will solicit advice from a committee established and documented according to practices appropriate within the particular school or college. 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.Appointments will ordinarily be for a fixed term, with the possibility of renewal. In the case of an initial appointment, the committee may, when appropriate, solicit external letters to inform their recommendation. The Provost will consider exceptions to the ordinary procedures on a case by case basis.  The term associated with an endowed chair or endowed professorship will be determined at the discretion of the dean up to a maximum of 5 years.
      • The holder of an endowed chair or endowed professorship is ordinarily considered for a renewal appointment at the end of her/his appointment.
      • In the event that an endowed chair or endowed professorship becomes vacant, the dean may at her/his discretion appoint an individual to the position for the remainder of the term associated with the appointment.
      • Retired or emeritus faculty are ineligible for appointment or reappointment to an endowed chair or professorship. Faculty who retire while serving in an endowed position vacate the position upon retirement.

       

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

      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 Applications

      Waiver Application for UConn student travel to high risk countries

      Waiver Application for UConn faculty/staff travel to high risk countries 

      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. See http://travel.state.gov/content/passports/english/alertswarnings/mexico-travel-warning.html). 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 and Procedures Manual

      Guideline for the Employment of Graduate Students

      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: http://hr.uconn.edu/special-payroll-manual-offer-letters-forms.

      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.

       

      Student International Travel Policy

      Title: Student International Travel Policy
      Policy Owner: Office of Global Affairs
      Applies to: Students
      Campus Applicability: All Campuses except UConn Health
      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/

       

      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 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. The purpose of this policy is to facilitate the following objectives:

      1. Ensuring student access to information essential to their travel abroad.
      2. Assessment of any potential risks and appropriate actions to reduce those risks.
      3. University awareness of when and where students are taking advantage of these Education Abroad and related opportunities.

      APPLIES TO 

      This policy applies to all undergraduate and graduate students 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 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 a UConn registered student organization or 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 the University-contracted insurance plan.

      This policy does not include student travel through a program that is administered by another organization that has not been vetted and approved by OGA:EA or does not have a formal agreement or exchange program with UConn.

      This policy does not apply to students who make the personal decision to travel internationally on a program 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.

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

      POLICY STATEMENT

      Any student who travels internationally for university-sponsored or university-related purposes, as defined above, is required to register with the Office of Global Affairs: Education Abroad (OGA:EA).

      Registration with the Office of Global Affairs: Education Abroad (OGA:EA)

      Specifically, any student who travels internationally for university-sponsored or university-related purposes is required to:

      a. University Registration.  Register with the OGA:EA;

      b. Health Insurance.  Through the OGA:EA, register for University-contracted (or other suitable) international health insurance coverage;

      c. Itinerary and Contacts.  Submit up-to-date itinerary information to the OGA:EA, including personal and emergency contact information (both U.S. and international), host program/entity contact information (as appropriate), travel itineraries and international accommodations;

      d. Updated Itinerary Upon Changes.  Promptly provide updated travel itineraries and accommodations to OGA:EA as they develop, especially if/as these change during the course of travel;

      e. Contract Requirements.  Read and sign any appropriate contract documents (e.g. the Education Abroad Student Contract) that pertain to the Education Abroad program in which the student is participating;

      f. State Department Registration.  Register with the U.S. Department of State’s Smart Traveler Enrollment Program (STEP), http://travel.state.gov/content/passports/english/go/step.html; and

      g. State Department Acknowledgement.  Acknowledge, via electronic signature, having researched and read any U.S. Department of State Travel Advisory for the destination country/countries. If the destination country/countries has a travel warning or travel alert and the University has reviewed and granted permission for the student to participate in accordance with the Policy for Education Abroad and Related Activities in Sites with a U.S. Department of State Travel Warning/Travel Alert, the student is required to review and sign the University’s Informed Consent and Release of Liability for Travel Abroad to a Travel Warning/Travel Alert Country in accordance with that applicable policy.

      Conduct while Traveling for University-Sponsored or University-Related Purposes

      While away from campus, students are required to honor the University’s Responsibilities of Community Life: The Student Code, as well as any appropriate contract documents (e.g. the Education Abroad Student Contract) that pertain to the UConn international program in which they are participating. Students must further adhere to the codes of conduct established by faculty directors, hosting entities/institutions, and/or professional practice applicable to the UConn international program in which they are participating. Students traveling internationally are subject to all local laws and to discipline under The Student Code.

      ENFORCEMENT

      Violations of this policy may result in disciplinary measures in accordance with 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 student international travel that is inconsistent with published policies and practices.

      RELATED POLICY

      See also:

      Export Control and Economic Sanctions Policy

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

      Travel & Entertainment Policy and Procedures Manual

      Policy History

      Adopted: July 23, 2015 [Approved by the President’s Cabinet]

      Familial Relationships and Teaching, Policy on

      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).

      Reimbursement of Moving Expenses Policy and Procedures

      Title: Reimbursement of Moving Expenses Policy and Procedures
      Policy Owner: Committee formed by the Office of the Provost
      Applies to: Faculty
      Campus Applicability:  All Programs at all Campuses except UConn Health
      Effective Date: November 21, 2014
      For More Information, Contact Workforce Solutions / Office of the Provost
      Contact Information: (860) 486-3034
      Official Website:  http://hr.uconn.edu/

      This policy is currently under revision. While the policy is still in effect, it should be noted that the tax law changed January 1, 2018 and now ALL moving reimbursements are taxable and will be reported by Payroll in your earnings.

      Reason for Policy

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

      Policy Statement

      The hiring process includes three phases: interview, offer and acceptance, and move.

      The final phase, the move, begins the date of the final one-way trip of the selected candidate and their family to their new residence. The move phase ends upon the day of arrival.  As stated in more detail below, expenses incurred in connection with the move phase are reimbursable to the employee.

      Individuals should refer to the Reimbursement of Recruitment Expenses Policy for guidance regarding appropriate payment or reimbursement of expenses related to the interview and offer and acceptance phases.

      Consistent with IRS regulations the following are considered Nontaxable Expenses that are eligible for reimbursement, up to the amount authorized in advance by the hiring department in accordance with the limitations set forth in this policy.

      1. Moving of household goods and personal effects (packing, crating and transporting);
      2. Actual expenses for gas and oil OR Standard IRS moving mileage rate based on most direct route;
      3. Parking fees;
      4. Tolls;
      5. Lodging for the employee and their immediate family while traveling from former residence to new residence, including the day of arrival (please refer to the Travel and Entertainment Policies and Procedures for guidelines regarding accommodations).
      6. Storage of household goods after arrival; not to exceed 30 consecutive days after the day your things are moved from the former residence;
      7. Airfare (please refer to the Travel and Entertainment Policies and Procedures for guidelines regarding approved class of travel);
      8. Shipping of car;
      9. Shipping of household pets;
      10. Car rental through and including the day of arrival

      The following are considered Taxable Expenses that are eligible for reimbursement, up to the amount authorized in advance by the hiring department in accordance with the limitations set forth in this policy.  Reimbursement of Nonqualified Expenses is subject to withholding of applicable income, social security and Medicare taxes; these expenses are included in taxable income and reported on the annual Form W-2.

      1. Meals;
      2. Lodging outside of the nontaxable time frame;
      3. Storage of household goods outside of the nontaxable time frame;
      4. Car rental outside of nontaxable timeframe.

      The following expenses will not be reimbursed by the University:

      1. Entertainment;
      2. Side trips, sightseeing;
      3. Violations (parking tickets, moving violations, etc.);
      4. Return trips to former residence;
      5. Expenses related to prior residence;
      6. General repairs or maintenance of vehicle resulting from self-move.

      If employment with the University ends prior to working at least 39 weeks full-time in the first year after arriving, he/she will be required to pay back the University for all moving expense reimbursements received.

      Moving expenses are weighted by the rank of the position and the distance of the move (see table below).

      The allowance for a particular move constitutes the maximum commitment for reimbursement of University and/or Foundation funds, rather than an entitlement of the employee.

      Procedure

      All requests for moving expenses will identify the fund source, including any commitment to use private funds.

      Reimbursements using UConn Foundation funds, or other private sources, will be remitted to the University and paid to the employee as if they were University funds and in accordance with this policy. Department funds may also be used to pay for moving expense reimbursements.

      Payments exceeding the reimbursement schedule, or for purposes other than those herein specified, may be granted upon recommendation of the President or Provost. The President will recommend payment of any moving expenses for another Officer of the University to the Board, and the Chairman of the Board will make such recommendations for the moving expenses of the President.

      The formula for determining the amount to be reimbursed is based on the rank of the position and on the distance of the move. The sum of these two represents the maximum reimbursement allowed.

      Rank Weight Base Rank Total
      Assistant Professor 1 x $1000 $1000
      Associate Professor 2 x $1000 $2000
      Professor 3 x $1000 $3000
      Dept. Head/Director/Assoc. VP 4 x $1000 $4000
      Dean/Vice President 5 x $1000 $5000

      The distance factor is calculated on the mileage of the move as follows:

      Mileage Base
      < 500 Miles $350
      < 1,000 Miles $700
      < 1,500 Miles $1,050
      < 2,000 Miles $1,400
      < 2,500 Miles $2,100

       

      After identifying a valid account number, department heads should sign and forward a written request for moving expenses to the dean/director for approval and signature.

      Once Dean, Director or Department Head approval has been received, the department should notify the candidate of the approval and amount authorized.

      The candidate may then proceed in either of the following ways:

      A. Direct Payment by the University

      The University has a contract with a moving broker (with access to 10 different moving companies) who bills the University directly up to the approved amount. See the UConn Landing Page   for more information.

      Departments wishing to use one of the movers provided through the moving broker should follow the procedure below:

      1. The department should provide the employee with the moving broker’s name, telephone number, and landing page and instruct them to obtain and select a written and signed quotation. The moving broker can provide up to three quotations from which the employee can select. The selected quotation must include a statement of the departure and destination points for the move. A “not to exceed” quote can be provided with some limitations.

      2. The employee should forward the quotation to their department, indicating their vendor preference. (The University assumes no liability for damage or loss, and because the employee is personally responsible for expenses exceeding the amount approved by the University, vendor selection is the employee’s decision).

      3. The department should obtain a signed copy of the quotation, a signed copy of the Moving Expense Request Form (ME13), and enter a requisition into KFS identifying the moving broker, the amount the University will pay, the moving date, and the departure/destination points.  Once Procurement Services receives all required information, a purchase order will be issued.

      4. A purchase order will be sent to the moving broker authorizing it to invoice the University up to the amount approved. All charges in excess will be the employee’s responsibility.

      B. Reimbursement

      The employee may, if so desired, make arrangements with a moving company of his/her choice or self-move. Employees may request reimbursement of out of pocket expenses up to the amount authorized by this policy and for other permissible items. A Request for Reimbursement of Moving Expenses and Moving Expense Reimbursement form (ME13) should be completed by the Department for approval by the Dean, Director or Department Head.  The Department Head’s signature acknowledges that the expenses requested are reimbursable under this policy. Departments should forward these forms and original receipts to the appropriate office to obtain the second approval signature.  Reimbursement requests that do not have the required two signatures will not be processed.

      The Dean, Director or Department Head will forward the approved package to the Payroll Department, which will review the documents to ensure compliance with this policy. Taxes will be applied for any portion of the authorized reimbursement that is taxable as described in this policy.

      NOTE: As described in this policy, employees will be reimbursed for the shortest, most direct route available. Travel incurred for side trips or vacations en route, etc. may proportionally reduce the amount reimbursed.

      Approval

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

      Revisions: November 21, 2014

      Provost’s Policy on Faculty Leaves

      Title: Provost’s Policy on Faculty Leaves
      Policy Owner: Office of the Provost
      Applies to: Faculty
      Campus Applicability:
      Effective Date: July 13, 2015
      For More Information, Contact Office of the Provost
      Contact Information: (860) 486-4037
      Official Website: http://provost.uconn.edu/

      Please see the following July 13, 2015, memo from Provost Mun Choi regarding Faculty Leaves and proper administrative notification: Administrative Notification of Faculty Leaves, July 13, 2015.