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Export Control and Economic Sanctions Policy

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

REASON FOR POLICY

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

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

APPLIES TO 

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

POLICY STATEMENT

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

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

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

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

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

ENFORCEMENT

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

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

PROCEDURES

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

POLICY HISTORY

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

Revision History:

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

Intellectual Property and Commercialization Policy

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

 

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

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

1. Ownership and Protection of Intellectual Property

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

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

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

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

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

2. Commercialization

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

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

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

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

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

3.  Income Derived from Intellectual Property

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

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

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

4.  Licensing and New Company Formation

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

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

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

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

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

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

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

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

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

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

The University requires that each student receive a written offer of employment with a specific scope of work or job description, the rate of compensation and the expected hours of work.  In addition, the student should receive a fair market value rate of pay.

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

5. Dealings with Outside Parties

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

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

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

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

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

6. Other Considerations

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

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

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

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

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

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

7.  Exceptions to This Policy

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

8. Enforcement

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

9.  Related Policies, Procedures and Board Resolutions

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

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

All University Campuses

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

“Consulting by Faculty” website

University Trademark website

Specific to Storrs and Storrs-based Regional Campuses

“Financial Conflicts of Interest in Research”

“Use of Students for External Employment”

“Board of Trustees Resolution Delegating Signing Authority”

Specific to UConn Health

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

Data Ownership

Individual Financial Conflict of Interest in Research 

 

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

Policy approved by the President’s Cabinet.

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

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

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

Waiver Application

Waiver Application for Travel to High-Risk Countries/Regions

REASON FOR POLICY

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

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

 

APPLIES TO

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

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

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

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

DEFINITIONS

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

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

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

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

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

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

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

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

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

POLICY STATEMENT

The University observes the following policy:

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

I.        Proposed Programs or Activities

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

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

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

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

Waiver Process

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

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

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

C.      Vice President’s Decision:

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

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

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

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

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

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

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

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

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

II.      Current Programs

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

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

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

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

C.      Vice President’s decision:

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

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

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

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

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

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

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

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

ENFORCEMENT

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

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

RELATED POLICY

See also:

Export Control and Economic Sanctions Policy

Student International Travel Policy

Travel & Entertainment Policy

Student International Travel Policy

Posted on by
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

Policy History

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

Conduct History Review Committee (CHRC) Policy

Posted on by

 

Title: Conduct History Review Committee (CHRC) Policy
Policy Owner: Undergraduate Admissions and Graduate School
Applies to: Undergraduate and Graduate Applicants and Student Populations
Campus Applicability: All campuses except UConn Health and the School of Law
Effective Date: August 24, 2022
For More Information, Contact: Undergraduate Admissions or Graduate School
Contact Information: Undergraduate Admissions: beahusky@uconn.edu
Graduate School: gradschool@uconn.edu
Official Website: https://uconn.edu

PURPOSE

The University of Connecticut is committed to providing a safe environment for its students and employees. To promote this environment, all applicants for admission or readmission to the University are required to indicate whether they have been subject to disciplinary action for academic or behavioral misconduct prior to enrollment.

POLICY STATEMENT

To ensure that applicants, admitted students indicating the assignment of disciplinary action subsequent to application, former students applying for readmission to the University, or any students whose prior conduct is discovered after application submission (hereinafter “applicants”) receive a fair evaluation, the appropriate admission authority (i.e., The Graduate School, Undergraduate Admissions, Dean of Students) will refer such applicants to the Conduct History Review Committee (CHRC), which will undertake a thorough and holistic review of the conduct identified by the applicant in the context of their application for admission.

If the applicant is otherwise identified as a viable candidate for admission by the respective office, the CHRC review of this history may result in denying the applicant admission or enrollment to the University. Alternatively, it may permit enrollment subject to certain conditions (e.g., restricting access to on-campus housing or requiring participation in counseling services), or allowing enrollment without any restrictions.

ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University By-Laws and the University of Connecticut Student Code.

PROCEDURES

For more information about CHRC, including process and procedure, please go to https://admissions.uconn.edu/chrc-policy/.

POLICY HISTORY

Policy created: June 26, 2015 [Approved by leadership in Enrollment Management, Student Life, and Graduate School]

Revisions: Effective August 24, 2022 [Approved by the President’s Senior Policy Council August 15, 2022]

 

Familial Relationships and Teaching, Policy on

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

 

Scope

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

Definitions

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

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

Policy Obligations

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

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

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

University Logo and Trademark Policy

Posted on by
Title: University Logo and Trademark Policy
Policy Owner: University Communications
Applies to: All Employees, Students, External Audiences
Campus Applicability: All Campuses, including UConn Health
Effective Date: May 10, 2024
For More Information, Contact Associate Director of Branding and Visual Identity
Contact Information: brand@uconn.edu
Official Website: http://brand.uconn.edu/

PURPOSE

This policy governs the development and use of Logos to identify a University Group (defined below), program, or offering.  Consistent and accurate use of Logos at the University of Connecticut (“University”) is important to help maintain a strong and cohesive University brand.

DEFINITIONS

Branding Guidelines: The University’s brand standards and guidelines published at brand.uconn.edu.  For purposes of UConn Health only, the applicable brand standards and guidelines are published at https://health.uconn.edu/communications/branding.

Logo: A graphic representation or symbol made up of text and/or images that identifies, or is intended to identify, the University or a University Group, program, or offering.

Official UConn Logo: A Logo approved by University Communications.

 University Group(s): Campuses (including UConn Health), colleges, schools, centers, institutes, departments, divisions, offices, units, and academic programs and activities of the University.

University Marks:  The University Name(s), Logos, symbols, seals, images, photographs, trademarks, service marks, and other marks owned by the University.  Examples of University Marks include, but are not limited to, the UConn logo, the University Oak Leaf, the University seal, the Husky Dog, and phrases such as “Students Today, Huskies Forever”.

University Name(s): “The University of Connecticut”, “UConn”, and any other name, abbreviation, or derivative containing such designations.

Unofficial UConn Logo: A Logo that has not been approved by University Communications.

POLICY STATEMENT

  1. University Group(s). Unofficial UConn Logo(s) may not be used for purposes of identifying a University Group, program, or offering, which includes, without limitation, academic and non-academic programs, events, services, campaigns, initiatives, and community and outreach programs. University Group(s) may only use Official UConn Logo(s) in accordance with the Branding Guidelines.  Please contact University Communications for questions relating to use of Official UConn Logo(s) and/or creation of a new Logo.
  2. Registered Student Organizations. Registered Student Organizations may only use University Marks, including without limitation, Official UConn Logo(s), in accordance with the Guidelines for Use of University Logos & Trademarks available at https://brand.uconn.edu/guidelines-usage/usage-by-student-organizations/, including obtaining such permission and approvals required therein.
  3. The University’s Office of Brand Partnerships and Trademark Management (“OBPTM”) ensures correct and legal use of University Marks. Approval from OBPTM is required prior to use of the University Marks on any product created and/or sold to the general public or to University Group(s), any commercial use of the University Marks (e.g., manufacturing, distribution, marketing, and advertising of commercial and consumer products), and any use of the University Marks by non-University organizations (e.g., alumni clubs, booster clubs, vendors).  For trademark use and licensing approval, please contact OBPTM at licensing@uconn.edu.
  4. General. The University Marks may not be altered or modified in any manner without approval by University Communications.  Notwithstanding anything to the contrary herein this policy, use of any University Marks, including without limitation, the Official UConn Logo(s), must comply with the University By-Laws, the University Policy on Endorsements, and, unless otherwise approved by University Communications, the Branding Guidelines.

        ENFORCEMENT

        Violations of this policy may result in delay, denial, or revocation of media buys, purchased products, printed or digital materials, including websites, and other branded communications. Unauthorized use of University Marks may result in a cease and desist from the Office of Brand Partnerships and Trademark Management.

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

        REFERENCES

        policy.uconn.edu/2016/08/31/policy-on-endorsements

        policy.uconn.edu/by-laws

        brand.uconn.edu

        health.uconn.edu/communications/branding

        POLICY HISTORY

        Policy created: 01/15/2015

        Revisions: 05/10/2024

        Timecard Submission Requirements and Deadlines

        Posted on by
        Title: Timecard Submission Requirements and Deadlines
        Policy Owner: Payroll Department
        Applies to: All 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 accurate completion and approval of time and attendance records.

        APPLIES TO

        This policy applies to all employees at the University of Connecticut, Storrs and Regional Campuses required to complete biweekly time and attendance records.  This includes all members of the classified bargaining units; all members of the University of Connecticut Professional Employee’s Association (UCPEA); all Management and Confidential staff; student employees; and certain special payroll appointees.

        This policy also applies to University employees who have been granted signatory authority to approve time and attendance records.

        DEFINITION

        A time and attendance record is a true and accurate statement of time worked and time taken.  These records must be completed in accordance with the Fair Labor Standards Act, collective bargaining agreements, State regulations and University policies.  By submitting and/or approving a time and attendance record, employees and their supervisors are attesting to the accuracy of the time reported.  An approved time and attendance record also authorizes the expenditure of funds in accordance with time reported.

        POLICY STATEMENT

        Employees are required to submit biweekly time and attendance records for the purposes of calculating payments, and managing accruals and other entitlements.  In the event that an employee is unable to complete his/her time and attendance record (or is not included in the self-service population) it is the supervisor’s responsibility to complete it on their employee’s behalf.

        All time and attendance records must be submitted and approved by the deadlines posted on the Payroll website.  Changes to the biweekly submission and approval deadline due to holidays, severe weather events and unforeseen circumstances will be communicated to the University community in as timely a manner as possible.

        Corrections to previously reported time must be submitted as soon as the discovery is made.

        Access to the time and attendance systems is administered by the Payroll Department, subject to the established guidelines on the Payroll website and consistent with the security policy administered by University Information Technology Services.  Under no circumstances should a login ID and password be shared.

        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

        Time and attendance procedures for employees and supervisors are posted on the Payroll Department website at www.payroll.uconn.edu.

         

        Paycheck Distribution

        Posted on by
        Title: Paycheck Distribution
        Policy Owner: Payroll Department and the Office of Faculty and Staff Labor Relations
        Applies to: All 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: www.payroll.uconn.edu

         
        REASON FOR POLICY

        The purpose of this policy is to ensure the appropriate handling, and timely distribution, of paychecks to University employees.

        APPLIES TO

        This policy applies to all employees at the University of Connecticut, Storrs and Regional Campuses, as well as department liaisons responsible for claiming and distributing biweekly paychecks.

        DEFINITION

        Pay periods occur in two week cycles that begin on the Friday of a pay week and end on the Thursday of the following pay week.  There is a two week interval between the date of a check and the period for which employees are paid, with the exception of Graduate Assistants who are paid ‘to-date’ (see Graduate Assistant Pay Schedule Policy).  Biweekly paychecks are collated and distributed based on the ‘section number’ assigned to a department by Payroll.  Employees who have elected to utilize direct deposit do not receive a paper advice of deposit.  All employees are able to access their paystub information via ‘ePay’ on the State’s Core-CT portal.

        POLICY STATEMENT

        Distribution at the Storrs Campus: Designated department liaisons on the Storrs Campus must retrieve paychecks at the Payroll Department Main Office between 12:00 p.m. and 3:00 p.m. on alternating Thursdays.  At the time of pickup, the ‘Payroll Authorization Check Card’ (issued by the Payroll Department) must be presented.  Checks that are not claimed at the Payroll Department Main Office will be delivered to departments on Friday via intercampus mail.

        Distribution to the Regional Campuses: Representatives from the regional campuses are not required to retrieve paychecks at the Payroll Department Main Office on the Storrs Campus.  Paychecks will be delivered to the regional campuses via mail delivery service or courier.

        Section Number Assignment: Departments are assigned unique section numbers for ease of distribution, and employee checks are coded accordingly.  At the discretion of the Payroll Department and under limited circumstances, new section numbers will be created.

        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

        Departments are responsible for distributing paychecks to their employees.  Although departments may have their own internal distribution protocol, Payroll has established the following requirements:

        • Every attempt must be made to distribute checks to employees on the day they are picked up (Storrs Campus) or received (Regional Campuses).
        • Paychecks must be secured at all times.  Departments may not distribute paychecks by placing them in open mail slots in unprotected, public areas.
        • Employees must not cash or deposit checks until 3:00 p.m. on pay Thursday (the start of the next banking day).
        • Departments must not hold checks for more than one (1) pay cycle.  Unclaimed checks must be mailed to the employee or returned to the Payroll Department, unless prior alternative arrangements have been made with the employee.
        • Departments may not open employees’ paychecks since they contain personal and sensitive information.

        Notification to departments and/or employees will be sent via email (or other appropriate media) in the event that a check distribution date must be changed due to a holiday or inclement weather.

        Paid Sick Leave for Student Employees

        Posted on by
        Title: Paid Sick Leave for Student Employees
        Policy Owner: Payroll Department and the Office of Faculty and Staff Labor Relations
        Applies to: Student 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: 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 for student employees.

        APPLIES TO

        This policy applies to Student Labor and Federal Work Study employees at the University of Connecticut, Storrs and Regional Campuses, as well as University departments who hire student employees.

        DEFINITION

        A “student employee” is defined as a student employed on the Student Labor and/or Student Work Study payroll.  The University considers student employees as meeting the definition of a service worker 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:

        Student 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. Student 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. Student 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 Student Employees entitled to any payout for accumulated but unused sick leave.

         

        Use of Paid Sick Leave:

        Student 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 Student Employee’s normal hourly rate at the time the leave is taken.

        Reasons for Use of Paid Sick Leave:

        Student 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 Student Employee must provide at least seven (7) days advance notice to their supervisor,or if the leave is not foreseeable, the Student 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 Student 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 https://payroll.uconn.edu/student-sick-time/.