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Minimum Class Size Enrollment, Policy on

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Title: Minimum Class Size Enrollment, Policy on
Policy Owner: Office of the Provost
Applies to: Undergraduate and Graduate Classes
Campus Applicability: All UConn Campuses, except UConn Health
Approval Date: November 19, 2025
Effective Date: December 15, 2025
For More Information, Contact: Vice Provost for Academic Operations
Contact Information: provost@uconn.edu, 860-486-4037
Official Website: https://provost.uconn.edu/

BACKGROUND

While various pedagogical decisions (including instructional modality, assessment formats, etc.) are best handled at the instructor/department or school/college levels, it is essential for the efficient use of physical, fiscal, and personnel resources that certain academic operational baselines be established by the Provost.  One such operational baseline relates to Minimum Class Enrollments.  Left unchecked, low class enrollments lead to financial and space inefficiencies, as well as significant workload disparities among faculty.

PURPOSE

To provide minimum class size enrollments below which classes will not ordinarily be offered.

APPLIES TO

This policy applies to all courses at the undergraduate and graduate levels with the exception of the following: Directed Research/Thesis Courses, First Year Experience (FYE) Courses, Honors Courses, Independent Study Courses, Internship/Clinical Field Placement Courses, Individual Music Instruction, Learning Community Seminars, and Studio Courses.

DEFINITIONS

Cross-Listed Courses: A cross-listed course is offered under multiple departments or disciplines but  is essentially the same course. This allows students from different programs to take the same course concurrently and receive credit under their respective majors.

Concurrent Courses: Concurrent Courses are distinct courses that are scheduled to meet at the same time and place, taught by the same instructor, but with different expectations and requirements tailored to each course. Each course maintains its own unique course code, curriculum, objectives, and requirements. Students enrolled in Concurrent Courses may be pursuing different academic outcomes, and while they participate in the same sessions, their assignments, expectations, and assessments are aligned with the specific course for which they are registered.

Minimum Class Enrollment: The student enrollment number necessary for a course section to be offered.

POLICY STATEMENT

Sections of courses that do not meet the established enrollment minimums are subject to cancellation.  Unit heads must consult with academic advisors to discuss the possible impacts of class cancellations on students’ progression toward graduation. To be offered, any class subject to cancellation must formally request an exemption and obtain approval from the relevant dean (or deans in the case of cross-school/college Cross-Listed Courses).

Undergraduate classes not meeting enrollment minimums, and that have not received approved exemptions, must be cancelled at least one month prior to the start of the class (or converted to off load). Graduate classes not meeting enrollment minimums, and that have not received approved exemptions, must be cancelled at least one week prior to the start of the class (or converted to off load). Once a decision to cancel a class has been finalized, it is the responsibility of the department (in collaboration with the school/college) to ensure that the Registrar’s Office has been informed and that the cancellation is communicated to students, their respective advisors, and other departments that might be affected.

The Dean of School/College may develop class size minimums that exceed the minimums outlined in this policy.

I. Authority to cancel classes

The authority to cancel a class not meeting enrollment minimums rests with the department in which the faculty has a primary appointment (though that authority also extends to the Dean and Provost Offices). The Department Head shall consult with the Dean when making a cancellation decision, and the impact of cancellation on students’ progress toward graduation must be considered in the process.

II. Class size enrollment minimums and course cancellations

 Class sections failing to meet the requisite minimum enrollment size must be cancelled unless they are granted an exception. In addition, when a large class is subdivided into multiple recitation sections, low-enrollment sections should be cancelled provided that sufficient seats are available in other sections to accommodate the total course enrollment.

Exceptions to this policy must be approved in advance by the respective Dean’s office, in consultation with the Provost (or Provost’s designee).

A. Traditional, face-to-face lecture courses offered in the Fall and Spring semesters
Course Level  Class Size Minimums (not Maximums)  
100/1000 22 students per instructor per section
200/2000 18 student per instructor per section
300/400/3000/4000 12 students per instructor per section
500/5000 and above 6 students per instructor per section
B. Distributed learning or online lecture courses, hybrid or other modality courses

Departments should conduct ongoing assessments and evaluations considering the unique characteristics of online education and the need for effective and engaging online learning experiences for students. The optimal class size for online, hybrid, or other modality courses can vary widely depending on the program and course-specific learning goals, the technology and support available, and the pedagogical approach. Factors such as the complexity of the subject matter, the availability of online resources, and the capacity of the online learning platform should all be considered when determining class size.

Minimum enrollment standards for distributed learning or online lecture courses offered during the fall, spring, winter, and summer are:

Course Level  Class Size Minimums
100/1000 22 student per instructor per section
200/2000 18 student per instructor per section
300/400/3000/4000 12 students per instructor per section
500/5000 and above 10 students per instructor per section

Refer to the Guidelines for Online Course Development and Enrollment for additional information.

C. Writing (W) courses

Writing (W) courses have caps established by the University Senate, that may in certain cases, fall below the class size minimums defined in this policy.  In those cases, sections of writing courses whose enrollment falls below 3 seats under the University Senate established cap must be cancelled.

D. Cross-Listed or Concurrent Courses

Any Cross-Listed or Concurrent Courses that collectively do not meet minimum enrollment standards must be cancelled.  When Cross-Listed or Concurrent Courses straddle multiple courses levels, the highest  class size minimums across the courses should be used (e.g., if a 5000-level course is Cross-Listed with a 4000-level course, the class size minimum for the 4000-level courses should be used as the total minimum enrollment necessary for the course).

E. Team taught courses

Class size minimum enrollment standards outlined in this policy are defined on a “per instructor” basis. Team taught courses must enroll enough students to meet minimum enrollment requirements for all instructors of record who are receiving full teaching load credit.

Team taught courses that do not meet the minimum enrollment standards from all instructors of record must either be 1) cancelled, 2) changed to single-instructor courses (assuming they meet the single instructor enrollment standards), 3) taught by the additional instructors as uncompensated overload, or 4) left as multiple instructor courses, but where the total teaching load credit granted across all instructors sums to one (e.g., two instructors teaching a 1000 level course with 30 students should each receive 50% teaching load credit).

III. Exceptions to the minimum class size enrollment standards

The following can be used as justifications for exceptions to the minimum class size enrollment standards.

  1. Cancellation of the class would likely delay or impede the enrolled students from making sufficient progress to their degree, and other alternative classes or arrangements are demonstrably not possible.
  2. The course is a program-of-study requirement and is part of the sequence that cannot be altered without disrupting subsequent courses in the sequence and delaying graduation for a cohort.
  3. Class size is limited by documented accreditation requirements or state licensing standards.
  4. The class section is Cross-Listed with other courses taught by the same faculty member at the same time/location, and the total registration meets or exceeds the required minimum class size enrollment number.
  5. The class section is voluntarily offered by the faculty member in excess of their teaching load and the faculty is not receiving additional compensation.
  6. The class is an experimental section of a new course offered for the first time to permit the faculty to refine the course design or pedagogical practices.
  7. The course is specialized and in an undergraduate or graduate degree program that meets an essential workforce need in Connecticut.
  8. The course enrollment is limited by the University Senate due to well-established pedagogical best practices.
  9. The need for specialized physical facilities (laboratory, studio, etc.) and/or equipment limits the size of the class.
  10. The Dean of the School/College, in consultation with, and approval of, the Provost, determines that other special circumstances warrant maintaining the class section.

IV. Adjustments to faculty/instructor teaching assignments

Faculty/instructors must be notified (typically in their offer letters) about

  1. The possibility of class cancellations if a class does not meet the established class size standards, and
  2. Possible changes in teaching assignments that result from such cancellations.

Adjustments to a faculty/instructor workload or teaching assignments should be done in consultation with the faculty member.

ENFORCEMENT

Violations of this policy and any related procedures 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.

PROCEDURES/FORMS

The following documents may be accessed from the Academic Affairs Governance Document Library.

  • Guidelines for Managing Course Enrollments
  • Guidelines for Online Course Development and Enrollment

POLICY HISTORY

Policy created: 11/17/2025 (Approved by Senior Policy Council)

Academic, Scholarly, and Professional Integrity and Misconduct (ASPIM), Policy on

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Title: Academic, Scholarly, and Professional Integrity and Misconduct (ASPIM), Policy on
Policy Owner: Graduate Faculty Council; University Senate
Applies to: All members of the University community
Campus Applicability: Storrs and Regional Campuses
Approval Date: July 11, 2023
Effective Date: August 28, 2023
For More Information, Contact: For Undergraduate Education: Director or Associate Director, Office of Community Standards (community@uconn.edu)

 

For Graduate Education: Director of Graduate Student and Postdoctoral Scholar Support, The Graduate School (gradschool@uconn.edu)
Official Website: policy.uconn.edu

BACKGROUND

The University of Connecticut is committed to fostering an intellectual community in which the highest ethical standards of academic, scholarly, and professional integrity prevail.  All members of the university community, including administrators, faculty, staff, and students, have a shared responsibility to uphold this commitment.  This commitment relates to all aspects of academic, scholarly, and professional activity, which include not only activities related to instruction, but also those related to the production and dissemination of scholarship, research, and creative works, and to professional conduct within clinical and other professional settings. Integrity in all of these activities is of paramount importance, and the University requires that the highest ethical standards in teaching, learning, research, and service be maintained. This includes “ethical aspects of scholarship that influence the next generation of researchers as teachers, mentors, supervisors, and successful stewards of grant funds” (Council of Graduate Schools, 2012).

Issues related to academic and scholarly integrity at the University of Connecticut are governed by the Academic, Scholarly, and Professional Integrity and Misconduct Policy (DATE). To recommend changes to the policy or to the implementing procedures, a committee must be convened that brings together all the above relevant stakeholders, including University Senate and Graduate Faculty Council. The committee must then bring those changes to the University Senate and Graduate Faculty Council, and each body must vote to approve any changes.

Students’ responsibilities with respect to academic and scholarly integrity are described in the following documents: Responsibility of Community Life: The Student Code.

PURPOSE

To ensure a commitment to academic, scholarly, and professional integrity in all levels of the university community.

Such a commitment ensures that:

  • all individuals accept full responsibility for their own work and ideas;
  • all academic/scholarly credit awarded to an individuals represents the work of that individual;
  • no student benefits from an unfair advantage;
  • faculty, staff, advisors and others who support the intellectual development of students are committed to fostering, guiding, and monitoring students for adherence to all principles of academic and scholarly integrity;
  • the grades earned, the degrees or certificate conferred were appropriately earned by the individual;
  • the reputation of the University with respect to academic and scholarly integrity are protected
  • faculty, staff, and students adhere to the professional standards of conduct specific to each program offered at the university;
  • this policy is used consistently across the University, including undergraduate and graduating students and schools/colleges.

APPLIES TO

This policy applies to all members of the University Community engaged in academic and scholarly efforts in, but is not limited to, the following contexts in undergraduate and graduate education:

  • courses, including online courses (e.g., assignments, exams, projects, thesis);
  • experiential and service-learning courses and activities;
  • study abroad programs;
  • clinical and practice placements, internships, and externships;
  • program assessments (e.g., comprehensive exams, thesis, program reviews);
  • research, including undergraduate, graduate, postdoctoral scholar, and faculty research; and
  • processes involving submitting information (i.e., admissions, for scholarships/fellowships, for competitions, for awards, or other university programs); and
  • professional events and conferences

All members of the University community are responsible for ensuring that the principles of academic and scholarly integrity are upheld.

This policy applies to graduate students and postdoctoral scholars, with the exception of PharmD students in the School of Pharmacy and professional students with degrees conferred by the Schools of Dental Medicine, Medicine, or Law.

This policy does not apply to legal, regulatory, or compliance requirements that fall outside the Academic and Scholarly Integrity Policy. In addition, this policy does not remove any reporting requirements to the appropriate oversight authority in instances of noncompliance or alleged noncompliance.

DEFINITIONS

Academic Integrity:  a commitment by the University Community to uphold just and ethical behaviors, which includes truthfulness, fairness, and respect (ICAI, 2021).

Scholarly Integrity: a commitment by the University community to both ”… research integrity and the ethical understanding and skill required of researchers/scholars in domestic, international, and multicultural contexts. It is also intended to address ethical aspects of scholarship that influence the next generation of researchers as teachers, mentors, supervisors, and successful stewards of grant funds.” (p. xix, Council of Graduate Schools, 2012).

Professional Integrity. Standards of behavior defined by the various professions in which students are prepared through their degree or certificate programs.

Academic, Scholarly, and Professional Integrity Misconduct is defined as unethical academic and scholarly behavior during a course (e.g., on an assignment or exam), as part of other degree requirements (e.g., requirements regarding placement, capstone or comprehensive exams, or placement exams), or at other times during undergraduate, graduate, or professional study and performance, including during engagement in fieldwork, clinical placements, or research. These behaviors include:  

  • Cheating: Unauthorized acts, actions, or behaviors in academic or scholarly areas. Examples of cheating include, but are not limited to:
    • providing or receiving help on an assignment or exam intended to reflect the individual student’s work product when not authorized to do so by the instructor. 
    • buying, selling, circulating, or using a copy of instructional materials, assignment or test, including uploading such information to online services, or using materials prepared by services that sell or provide papers or other course materials.
    • asking someone to complete an assignment, exam, or other requirement on your ones behalf or completing an assignment, exam, or requirement for another student. 
    • Failure to disclose unauthorized assistance on work submitted for evaluation, i.e., assistance obtained outside channels approved by instructors, that is used to complete a course, program, or degree requirement. This includes assistance from other students, teaching assistants, Quantitative Learning Center, Writing Center, or mediated support from the Center for Students with Disabilities.
  • Plagiarizing: Using one’s own previously published, presented, or disseminated material, or another person’s language/text, data, ideas, expressions, digital/graphic element, passages of music, mathematical proofs, scientific data, code, or other original material without authorization of the originating source or proper acknowledgement, attribution, or citation of the originating source. Examples of plagiarism include but are not limited to:
  • submitting as one’s own any work (in whole or part) completed by another individual, including any work that has been purchased from an individual, commercial research firm, or obtained from the internet.
  • submitting for evaluation or credit any work that was previously used or submitted for credit in another course or as part of a degree requirement (e.g., a thesis or dissertation) without authorization to do so from the instructor. (This includes self-plagiarism in the form of re-using, in part or whole, the content of a paper from another class or context.).
  • submitting any work prepared for or used in a previous publication, academic competition, clinic, or other activity (e.g., grant or application submission) without prior approval and full disclosure or when permitted by established editorial or other policy. (This includes self-plagiarism in the form of using, in part or whole, the content of a paper that was previously published without attribution).
  • unauthorized use of previously completed work or research for a thesis, dissertation, or publication.
  • Misrepresenting: Deliberately knowing and providing false or misleading information, including information about oneself or others. Examples of misrepresenting include but are not limited to:
    • engaging in “any omission or misrepresentation of the information necessary and sufficient to evaluate the validity and significance of research, at the level appropriate to the context in which the research is communicated” (D. Fanelli, Nature 494:149; 2013).
    • making unauthorized alterations to any document or digital file pertaining to academic or scholarly activity, including assignments, exams, and research data.
    • making up information for the purpose of deception (e.g., fabrication of data in research).
    • making false, inaccurate, or misleading claims or statements, including claims/statements made when asking for assistance (e.g., requesting an extension on an assignment), applying for admission to an undergraduate or graduate program, applying for a scholarship or an academic, scholarly, or research award, or submitting manuscripts for publications.
    • allowing someone to use one’s identity or using someone else’s identity for academic or scholarly advantage (e.g., signing in electronically for an absent student).
    • accepting credit for work for which the individual did not contribute (e.g., misrepresenting an individual’s role in a group assignments).
  • Noncompliance: Failure to conform with codified and publicly available academic, scholarly, or professional standards, processes, or protocols.Examples of noncompliance include but are not limited to:
  • not attending to the professional standards governing the professional conduct of students in particular fields (e.g., pharmacy, nursing, education, counseling, and therapy).
  • violating protocols governing the use of human or animal subjects. 
  • breaching confidentiality in academic and scholarly activity (e.g., disclosing the identity of study participants).
  • disregarding the applicable university, local, state, or federal regulations that guide academic or scholarly activities.

Instructor: any faculty, teaching assistant, or any other person (e.g., lab supervisor, clinical supervisor, professional staff) authorized by the University to provide educational services (e.g., teaching, research, advising)

POLICY STATEMENT

All members of the university community, including administrators, faculty, staff, and students, have a shared responsibility to uphold the highest ethical standards of academic, scholarly, and professional integrity and to report any violations of those standards of which they are aware.

Instructor Expectations: To foster a culture of academic integrity, instructors are responsible for communicating the expectations for academic and scholarly integrity to students and for engaging in practices that mitigate violations of this policy. Specifically, instructors are expected to:

  • include a link to the Academic, Scholarly, and Professional Integrity and Misconduct policy as part of course syllabi or documentation for any other academic/scholarly activity and include any additional unit-specific expectations.
  • review academic and scholarly integrity policy and any other disciplinary- or activity-specific expectations.
  • provide clear guidance for all assignments, activities, and assessments, including noting what resources can be used and whether collaboration is permitted.
  • ensure individuals engaged in research, creative, or professional activities understand the standards, protocols, and guidelines to which they must adhere.
  • adhere to the University processes for reporting misconduct, engaging in the review process, and assigning consequences to address violations, which should include opportunities for education and remediation.

Student Expectations:   To uphold the principle of academic and scholarly integrity in all aspects of their intellectual development and engagement at the University, students are expected to:

  • be responsible for their own work and their own actions related to all academic and scholarly endeavors.
  • assume they are to do independent work and seek clarification prior to collaborating with others or using outside resources.
  • understand and abide by the standards, protocols, and guidelines to which they must adhere in research, creative, or professional activities .

If students witness or become aware of a violation of academic or scholarly integrity, they are encouraged to communicate this to the appropriate university representative (e.g., faculty, staff, advisor).

A cumulative record is maintained of all academic or scholarly integrity violations and such record will be reviewed and considered as part of subsequent incidences. Individuals engaged in research are expected to follow all standards, rules and regulations that guide the proper conduct of research or creative activity.

ENFORCEMENT

Violations of this policy and its related procedures 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.

Notes:  Student misconduct is governed by the University’s Student Code, which is administered under the direction of the Division of Student Affairs. Enforcement of its provisions is the responsibility of the Director of Community Standards (for undergraduate students), The Graduate School (for graduate students), and the Office of the Vice President for Research (for research misconduct). Identified misconduct will be routed to the appropriate unit.

Faculty misconduct is also governed by the Code of Conduct and misconduct is addressed by the appropriate university administrative unit(s) (e.g., School/College, Provost Office, Office of the Vice President of Research, Human Resources).

REFERENCES

International Center for Academic Integrity [ICAI]. (2021). The Fundamental Values of Academic Integrity. (3rd ed.) https://academicintegrity.org/images/pdfs/20019_ICAI-Fundamental-Values_R12.pdf

Council of Graduate Education (2012). Research and Scholarly Integrity in Graduate Education: A Comprehensive Approach. https://cgsnet.org/research-and-scholarly-integrity-graduate-education-comprehensive-approach-2

Responsibilities of Community Life: The Student Code

PROCEDURES/FORMS

Undergraduate Education: Academic, Scholarly, and Professional Misconduct

Graduate Education: Academic, Scholarly, and Professional Misconduct

[Note: UConn will continue to use the existing procedures administered by Community Standards for undergraduate education and The Graduate School for graduate education until such time that the university transitions to the new Procedures for Addressing Alleged Violations of the Policy on Academic, Scholarly, and Professional Integrity, which was approved by Graduate Faculty Council and the University Senate.]

POLICY HISTORY

07/11/2023 Approved by the President (06/26/2023 Approved by Senior Policy Council; 05/01/2023 Approved by University Senate; 10/26/2022 Approved by Graduate Faculty Council)

Restriction on Lithium-Ion Battery Motorized Personal Transportation Vehicles (MPTV) Policy

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Title: Restriction on Lithium-ion Battery Powered Motorized Personal Transportation Vehicles within University Owned and/or Managed Buildings
Policy Owner: University Safety
Applies to: Students, Workforce Members, and Visitors
Campus Applicability: All Campuses
Approval Date: August 30, 2023
Effective Date: August 31, 2023
For More Information, Contact: University Safety, University of Connecticut Fire Department
Deputy Fire Chief & Executive Officer
Contact Information: UConnFire@uconn.edu
Official Website: https://universitysafety.uconn.edu/fire/safety/

BACKGROUND

The proliferation and utility of lithium-ion battery powered motorized personal transportation vehicles (MPTVs) (e.g., mopeds, scooters, e-bikes, etc.) throughout the University of Connecticut (UConn) has led to a significant community safety concern as these devices are charged, stored, and utilized within University owned and occupied buildings.

Lithium-ion and lithium metal batteries, when incorrectly charged or stored, can create thermal runaway in which the lithium-ion cell enters an uncontrollable, self-heating state, resulting in the ejection of gas, shrapnel and/or particulates, extremely high temperatures, smoke, and fire. This can result in high intensity flame and noxious gases that pose a serious risk to life safety, and can cause catastrophic property damage.

PURPOSE

To reduce the risk of safety hazards, property damage and potential disruption to business continuity by enacting a  University-wide restriction on the charging, storage, and use of lithium-ion battery-powered motorized personal transportation vehicles (MPTVs) within all University-owned and/or managed buildings and the University’s electrical infrastructure. The storage, charging, and maintenance of Motorized Personal Transportation Vehicles within University owned or managed buildings, or through use of the University’s electrical infrastructure, is strictly prohibited.

APPLIES TO

All University students, staff, faculty, and visitors, and University-owned and/or managed buildings across all campuses.

DEFINITIONS

Associated Electrical Infrastructure: the equipment and services necessary to take electrical energy generated and transmitted for end-use. Charging MPTVs within University owned and/or managed buildings and their associated electrical infrastructure transfers the risk of life safety hazards and property damage to areas that may directly impact business continuity (e.g. academic and operational buildings). A building’s interior and exterior electrical infrastructure may not be rated to handle such electrical demands. 

Motorized Personal Transportation Vehicle (MPTV): a vehicle or device used for human transport that does not require a license to operate and utilizes a fuel or battery driven motor for propulsion (e.g., electric bicycle, electric skateboard, hoverboard, self-balancing electric scooter, gasoline powered scooter, moped, etc.).

Lithium-Ion (Li-ion) Battery: a type of rechargeable battery composed of cells in which lithium ions move from the negative electrode through an electrolyte to the positive electrode during discharge and back when charging. These cells use an intercalated lithium compound as the material at the positive electrode, and typically graphite at the negative electrode.

POLICY STATEMENT

The storage, charging, and maintenance of MPTVs within University-owned and/or managed buildings, or through use of the University’s electrical infrastructure is strictly prohibited. Exceptions to this Policy are MPTVs that are used for medical purposes (e.g., lithium-ion battery powered wheelchairs) and items used in approved and supervised research activities.

ENFORCEMENT

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

PROCEDURES

University Building owners and stewards (e.g., Residential Life, School of Engineering, Student Union, Athletics, etc.), and their designees, will support compliance and enforcement of this policy by  notifying occupants and visitors through messaging (e.g., signage, internal email communication, etc.). University Building owners will direct removal of MPTVs from within buildings when device owners are unresponsive to compliance.

Any lithium-ion batteries, or powered devices that display signs of pending Thermal Runaway (e.g., bulging, off-gassing, high temperature production, etc.) are an immediate danger to life and health, and shall result in a notification to University Safety/public safety authorities via 9-1-1.

REFERENCES

Residential Life, University of Connecticut (2022). 2022-2023 Housing Contract. https://reslife.uconn.edu/wp-content/uploads/sites/3384/2023/03/UConn-Reslife_Housing_Contract-2022-2023-.pdf

POLICY HISTORY

Policy created: August 30, 2023 (Approved by the Senior Policy Council and the President)

Finance Capital Projects Policies and Procedures Manual

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

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

 

POLICY HISTORY

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

 

Governing and Cost Accounting Standards

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Title: Governing and Cost Accounting Standards
Policy Owner: Office of the Vice President for Research, Sponsored Program Services
Applies to: All Faculty, Staff, and Students
Campus Applicability: All campuses
Effective Date: November 18, 2019
For More Information, Contact Office of the Vice President for Research, Sponsored Program Services
Contact Information: 860-486-3622 (Storrs and regional campuses)

860-679-4040 (UConn Health)
Official Website: https://ovpr.uconn.edu (Storrs and regional campuses)

https://ovpr.uchc.edu (UConn Health)

REASON FOR POLICY

To confirm sponsored programs are administered in accordance with award requirements such as the Uniform Guidance, Cost Accounting Standards for Educational Institutions, Federal Acquisition Regulations, Federal and State regulations, and sponsor and university policies.

APPLIES TO

All faculty, staff, and students involved in the administration of sponsored programs at the University of Connecticut, regional campuses, and UConn Health (“University”).

POLICY STATEMENT

This policy establishes the terms and conditions that govern sponsored projects.  The University will be responsible for determining the appropriate costing treatment and for the maintenance of the CAS Disclosure Statement (DS-2) as prescribed in 2 C.F.R. §200.419.

In accepting a sponsored program, the Institution and Principal Investigator(s) assume responsibility for fulfilling the requirements of the program.  These requirements may be specifically contained in the agreement or they may be incorporated by reference to guidelines issued by the sponsor in special publications or directives.

Cost accounting and financial compliance for federally funded sponsored projects at the University is dictated by various Federal Office of Management and Budget Circulars and agency regulations.

The following is a brief explanation of the major bodies of federal and agency regulations that address financial compliance related to sponsored programs:

Uniform Guidance (2 CFR Part 200)

The Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Uniform Guidance”) establishes a basis for policy in the management of federally sponsored programs.

Specifically, the Uniform Guidance sets forth the uniform administrative requirements for grant and cooperative agreements, including the requirements for Federal awarding agency management of Federal grant programs before the Federal award has been made, and the requirements Federal awarding agencies may impose on non-Federal entities in the Federal Award. The Uniform Guidance also establishes the principles for determining the allowable costs incurred by non-Federal entities under Federal awards. Finally, the Uniform Guidance sets forth standards for obtaining consistency and uniformity among Federal agencies for the audit of non-Federal entities expending Federal awards.

Federal Acquisitions Regulations (FAR) (48 CFR)
Establishes the policies, procedures, and requirements of Federal contracts.

Cost Accounting Standards (48 CFR 9905)

Standards designed to ensure uniformity and consistency in the measurement, assignment and allocation of costs to contracts with the US Federal Government, and include:

CAS 501 – Consistency in Estimating, Accumulating and Reporting Costs

University will ensure compliance by employing consistent practices when developing budgets for proposals and in accounting and reporting costs for program expenses (in accordance with Federal and State rules and regulations and University policy).

CAS 502 – Consistency in Allocating Costs Incurred for the Same Purpose

Costs incurred for the same purpose, in similar circumstances, must be given consistent treatment in the accounting system. All costs must be charged consistently as either a direct cost or as part of the federally negotiated Facilities & Administrative (F&A) cost structure.

CAS 505 – Accounting for Unallowable Costs

Unallowable costs (as defined by federal, state or university regulation or policy) must be identified and excluded from any billing, claim, or proposal submitted to the Federal government.

CAS 506 – Cost Accounting Period

The University Fiscal Year (July 1 – June 30) will be used as the accounting period regardless of the sponsor’s accounting period.

Federal Sponsor Guidelines
While the Uniform Guidance establishes the principles for sponsored program management, each federal agency may differ in policy application. Additionally, terms and conditions specific to an award may apply.

Non-Federal Sponsor Guidelines
The specific award agreement, together with University policy, usually guides the project’s conduct.  State agencies, foundations, and private businesses may also publish their own funding guidelines and requirements.

ROLES AND RESPONSIBILITIES

Principal Investigator

Responsible for ensuring appropriateness of all charges on sponsored projects.  Ensure the consistent application of direct costing practices to sponsored projects.

Department or Shared Services Fiscal Officer/ Administrator

Assists the Principal Investigator in ensuring consistent application of costing practices, record keeping and other financial and administrative requirements.

Sponsored Program Services

Develop and maintain policies and procedures in accordance with Federal regulations.  Provide training and guidance to Principal Investigators and staff.  In accordance with policy and procedure, review transactions for appropriateness under Federal and institutional guidelines.

Office of Cost Analysis (Storrs and regional campuses) / Research Finance (UConn Health)

Maintain and file CAS Disclosure Statement (DS-2) in accordance with §200.419 identifying accounting practices, policies, and procedures for assigning costs to federally sponsored programs, and to attest to the consistent treatment of those practices.

ENFORCEMENT

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

PROCEDURES/FORMS/OTHER POLICY

UConn Storrs and Regional Campuses:

Disclosure Statement (DS-2)

Cost Accounting Disclosure-1 Direct/Indirect

UConn Health:

Policy on Sponsored Project Expenditures: Approval and Monitoring

UCH Policy 2002-05: Unallowable Costs/Administrative Costs

Disclosure Statement (DS-2)

POLICY HISTORY

Policy created:  Approved by the President’s Cabinet on 09/12/2019. This is a new University wide policy to better document practices at Storrs and regional campuses and combines two previous policies at UConn Health.

History:                

Miscellaneous guidance at Storrs and regional campuses

UCH Policy 2002-12, “Governing Standards”, 2/25/2002

UCH Policy 2002-37, “Cost Accounting Standards”, 2/25/2002

 

UConn’s NAGPRA Procedure

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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.

Native American Graves Protection and Repatriation Act (NAGPRA) Policy

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Title: Native American Graves Protection and Repatriation Act (NAGPRA) Policy
Policy Owner: Office of the Provost
Applies to: Faculty, Staff, Others
Campus Applicability: All campuses, including UConn Health
Effective Date: April 24, 2019
For More Information, Contact University NAGPRA Coordinator
Contact Information: (860) 486-6953
Official Website: https://provost.uconn.edu/

Reason for Policy:

The purpose of this policy is to ensure that Native American and Native Hawaiian human remains and funerary objects, sacred objects, and objects of cultural patrimony are maintained and repatriated by the University in a respectful, dignified and legally compliant manner as required by the Native American Graves Protection and Repatriation Act (“NAGPRA”).  Only items subject to the requirements of NAGPRA are subject to this policy.

Applies to:

Faculty, Staff, Others

Definitions:

This policy references the terms below and uses the definitions that have been assigned to those terms by NAGPRA in 25 U.S.C. §§ 3001–3013 and 43 C.F.R. pt. 10 (as summarized below).

Human remains means physical remains of the body of a person of Native American or Native Hawaiian ancestry.  The University considers human remains to include DNA and other biological derivatives obtained from the body of a person of Native American or Native Hawaiian ancestry.

Funerary objects means items that, as part of the death rite or ceremony of a culture, are reasonably believed to have been placed intentionally at the time of death or later with or near individual human remains.

Sacred objects means items that are specific ceremonial objects needed by traditional Native American religious leaders for the practice of traditional Native American or Native Hawaiian religions by their present-day adherents.

Objects of cultural patrimony means items having ongoing historical, traditional, or cultural importance central to the Native American or Native Hawaiian organization itself, rather than property owned by an individual organization member.

Policy Statement:

The University is committed to working with lineal descendants and Native American and Native Hawaiian organizations, both federally and non-federally recognized, with respect to 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.  The University is committed to ensuring that all such human remains and cultural items that are part of its collections are appropriately identified and treated with respect during that process.  The University welcomes all Native peoples to campus for NAGPRA consultation.

NAGPRA requires that the University follow a process for reporting information relating to 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 also requires that the University notify and consult with lineal descendants and Native American and Native Hawaiian organizations on human remains, funerary objects, sacred objects, and objects of cultural patrimony.

All University personnel must assist the University in fulfilling its legal obligations under NAGPRA.  The Provost will be responsible for designating one or more persons at the University to administer the University’s compliance obligations under NAGPRA and for ensuring that the University appropriately maintains and repatriates human remains, funerary objects, sacred objects, and objects of cultural patrimony in the University’s collections.

No one at the University is authorized to acquire for the University or accept on the University’s behalf any Native American and Native Hawaiian human remains, funerary objects, sacred objects, or objects of cultural patrimony without the prior written approval of the Provost or his or her authorized designee.  This includes any acquisition of such items by donation, loan or gift, as well as any acquisition of such items in connection with any teaching, research or other University-related activities.

Procedures:

The Provost’s office will develop procedures to this policy that outline the manner in which the University follows the requirements of NAGPRA with respect to Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony in the University’s collections.

Click here to view procedures for the Native American Graves Protection and Repatriation Act Policy.

Enforcement:

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

Related Information:

For information and resources on NAGPRA including links to the most current versions of the law and regulations visit NPS National NAGPRA website: www.nps.gov/nagpra.

Contact Sarah Sportman, the University’s NAGPRA Coordinator, at sarah.sportman@uconn.edu for additional information. 

Policy History:

Adopted 04/24/2019 [Approved by the President’s Cabinet]

Media and Mass Communication, Policy on

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Title: Policy on Media and Mass Communication
Policy Owner: University Communications
Applies to: Faculty, Staff, and Student Employees
Campus Applicability: All Campuses, including UConn Health
Approval Date: December 19, 2023
Effective Date: December 19, 2023
For More Information, Contact: Vice President for Communications
Contact Information: 860-486-0871
Official Website: https://universitycommunications.uconn.edu/

BACKGROUND

The University of Connecticut (“the University” or “UConn”) needs to be able to communicate accurately, effectively and consistently with a variety of diverse audiences including the media. University Communications is the institution’s primary voice and official liaison to the news media. It is responsible for initiating, developing and maintaining effective, productive and beneficial relations with the news media in communicating University news and in responding to media requests. University Communications is responsible for coordinating and delivering official University comment on all matters regarding the institution internally and through mainstream and social media. This includes both proactive statements, interactions, and responses to requests. University Communications is responsible for disseminating and pitching news stories, responding to media inquiries, arranging interviews and visual productions, and handling requests for distribution of information on behalf of the University’s main campus in Storrs, UConn Health and all campus locations and programs.

PURPOSE

The purpose of this policy is to gather the University’s existing policies regarding institutional and employee communication via mainstream and social media outlets and platforms into one accessible statement while reaffirming the University’s continuing commitment to the principles of academic freedom.  It incorporates policies on three distinct but related situations:

  1. Official University Position Statements or Responses
  2. Mass Communications Associated with News or Events
  3. Requests to Faculty Regarding Subject Matter Expertise
  4. Personal Speech

APPLIES TO

This policy applies to all University employees including administration, faculty, staff and student employees, employees at all campuses including the University’s main campus in Storrs, UConn Health, the regional campuses, and the School of Law. It applies to all employees in all programs wherever located. The policy applies to employees when they are acting in their capacity as employees of the University, including when they are asked questions.

POLICY STATEMENT

  1. Official University Position Statements or Responses

All inquiries seeking an official University response or a statement on behalf of the University should be directed to the University spokesperson within University Communications. All inquiries seeking an official response or statement specific to UConn Health and its clinical and academic areas should be directed to the UConn Health spokesperson.

Authorization to speak on behalf of the University may only be given by the President or the Vice President for Communications. No organizational unit, faculty, or staff member may make official position statements on behalf of the University without consultation with, and express authorization from, the President or University Communications. This includes posting of such statements on University-administered and branded website and social media platforms.

University Communications will coordinate any University responses with appropriate members of the University and UConn Health communities, and should be consulted on any potential statements or responses being considered by an organizational unit.

Any employee who has not been authorized by the President or University Communications to speak to the media in the context of his or her role as a University employee must direct inquiries from the media about the official University comment on all matters regarding the institution to the University spokesperson.

No employee is authorized to speak “off the record” on behalf of the University to media on any matter pertaining to the University.

University employees must adhere to relevant UConn policies as well as all federal, state and local laws and policies regarding the release of information about activities of the University, or its employees, students, volunteers, patients or research subjects, including those that apply to privacy and patient confidentiality such as HIPAA and FERPA.

  1. Mass Communications Associated with News or Events

The University will only on rare occasions send leadership mass emails and social media messages about news and events in the nation and world. Those rare occasions will include external tragedies or sensitive issues that have become dominant challenges in the daily lives of our communities at large.

Tragedies or concerns that affect individuals or groups unfortunately occur with great frequency. A practice of emailing after every major news issue or event is not practical. Selecting some issues or events and not others is exclusionary and lacks consistency. In addition, mass email is a poor vehicle for processing complex and painful topics, and university stakeholders have different perspectives about how tragedies and impacts to people should be described.

A singular mass message provides only one-way communication to thousands of individuals and is a poor replacement for other modes of communication that allow for better engagement for understanding, empathy and support for those impacted. Such messages also can be seen as lacking action or sincerity, and frequent messages about national and global tragedies can heighten fears or mental stress. They also can de-sensitize audiences to such messages from leadership, or even polarize the community.

Decisions and authorization on sending mass communications regarding such subjects ultimately rest with the President and/or the Vice President for Communications. Guidelines and best practices for engaging the campus community in these situations can be found here.

  1. Requests to Faculty and Staff Regarding Subject Matter Expertise 

UConn is proud of its faculty and staff, and their expertise and scholarship in a vast array of subjects and disciplines. Many senior administrators and staff also have expertise. Individual faculty, administrators and staff experts are encouraged to provide subject-specific commentary based on their scholarship in their academic concentration or their expertise in their professional field. This includes athletic coaches and staff on matters related to university athletic contests and team- or program-related matters.

When professional staff are contacted by the media for any reason, they are expected to notify University Communications. Faculty who are contacted by media for their scholarly expertise may notify Communications of the contact as a courtesy if they chose to. University Communications facilitates accurate, ethical and timely news coverage of significant programs and the achievements of faculty, administrators, staff, students and alumni. University Communications is available at all times to consult with administrators, faculty and staff about the most effective ways to work with the media.

Any questions that fall outside of a faculty member’s academic interest or expertise should involve consultation with the University spokesperson, who can be a resource in these instances. Questions also may be referred to the University spokesperson for direct handling. Inquiries seeking an official University comment must be directed to the University spokesperson.

If a faculty or staff member is unsure of whether a question or request for comment from the media concerns the faculty or staff member’s area of expertise or seeks an official University position, University Communications must be consulted.

  1. Personal Speech

Nothing in this policy is intended to restrict the freedom of faculty and staff members to engage in their scholarly activities or their personal involvement in community activities. Nothing in this policy is intended to affect individual employees’ rights to express personal opinions on University or non-University actions and policies. Nothing in this policy is intended to restrict faculty or staff members from commenting on matters of public concern implicating an employer’s official dishonesty, deliberately unconstitutional action, other serious wrongdoing or threats to health and safety. When speaking or writing as a citizen, an employee should be accurate, should exercise appropriate restraint, should show respect for the opinions of others, should not use University media or information technology (email) platforms, and should make every effort to indicate that he/she does not speak for the institution.

The University reaffirms its continuing commitment to the principles of academic freedom and its protections as set forth in Article XIV of the Laws and By-Laws of the University of Connecticut and the right to freedom of speech protected by the United States and Connecticut Constitutions.

ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University Bylaws, General Rules of Conduct for All University Employees, Office of Student Financial Aid Services – Student Employment Guide, applicable collective bargaining agreements, and any other applicable University policies and procedures.

POLICY HISTORY

Policy created: 05/05/2017 (Approved by the President’s Cabinet)
Revisions: 12/19/2023 (Approved by Senior Policy Council and the President); non-substantive revision 01/17/2025

      Vendor Code of Conduct

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

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

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

      Principal Expectations

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

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

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

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

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

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

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

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

      Preferential Standards

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

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

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

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

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

      Compliance Procedures

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

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

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

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

      Revised: July 14, 2015

      Non-Retaliation Policy

      Posted on by
      Title: Non-Retaliation Policy
      Policy Owner: Office of the President
      Applies to: University Workforce Members, Students, Affiliated Persons
      Campus Applicability: All UConn Campuses
      Approval Date: November 19, 2025
      Effective Date: November 19, 2025
      For More Information, Contact Office of University Compliance
      Contact Information: universitycompliance@uconn.edu
      Official Website: https://compliance.uconn.edu

      PURPOSE

      To demonstrate the University of Connecticut’s responsibility and commitment to protecting individuals within the University Community from Retaliation. The University encourages community members to report suspected violations of University policy or applicable laws and reporters must be able to do so without the fear of Retaliation.

      POLICY STATEMENT

      The University strictly prohibits any form of Retaliation against individuals who engage in a Protected Activity as defined within this policy.

      This policy does not extend protection to those who knowingly submit a Bad Faith Report.

      DEFINITIONS

      Retaliation: Any materially Adverse Action taken or threatened against an individual because of their actual or suspected participation in a Protected Activity or any action taken to discourage or prevent an individual from engaging in a Protected Activity.

      Adverse Action: Any harmful or punitive measure intended to negatively impact an individual’s employment or academic standing, or an individual’s participation in University activities. Examples may include, but are not limited to:

      • termination, demotion, or interference with or denial of promotion or advancement opportunities (whether employment or academic);
      • reduction in grades or academic standing;
      • denial or removal of co-authorship on a publication;
      • poor performance evaluation or disciplinary action without substantiation;
      • exclusion from University programs or activities;
      • decisions related to the terms and conditions of employment or education that create a material disadvantage;
      • physical threats or destruction of personal or University property;
      • any form of harassment, intimidation, or discrimination including humiliation, derogatory or insulting remarks, or social isolation, whether direct or indirect.

      Good Faith Report: A report made with an honest and reasonable belief that a violation of University policy or applicable law may have occurred, regardless of whether it is ultimately substantiated.

      Bad Faith Report: A report made that is knowingly false or that is made with malicious intent.

      Protected Activity: A report made in good faith whether internally or externally; inquiring about suspected  violation of policy or applicable law; opposing or refusing to engage in actual or perceived violations of policy or applicable law; assisting others in making a good faith report; and/or participating in an investigation, review, or proceeding related to such reports.

      REPORTING PROCESS

      If an individual believes they have been subjected to Retaliation, they should contact the office to which their initial complaint was filed or any of the following University offices:

      Storrs & Regional Campuses UConn Health
      The Office of University Compliance
      28 Professional Park, Unit 5084
      Storrs, CT  06269-5084
      Telephone: (860) 486-2530
      Reportline: 1-888-685-2637 or compliance.uconn.edu/reporting-concerns/
      Website: compliance.uconn.edu      		 The Office of University Compliance
      Administrative Services Building
      263 Farmington Avenue
      Farmington, CT 06030-5329
      Telephone: (860) 486-2530
      Reportline: 1-888-685-2637 or compliance.uconn.edu/reporting-concerns/
      Website: compliance.uconn.edu
      The Office of Inclusion and Civil Rights (OICR)
      241 Glenbrook Road
      Wood Hall, Unit 4175
      Storrs, CT  06269-4175
      Telephone: (860) 486-2943
      Email: equity@uconn.edu
      OICR’s Discrimination Complaint Procedures: equity.uconn.edu/policiesprocedures/      		 The Office of Inclusion and Civil Rights (OICR)
      Munson Building
      263 Farmington Avenue
      Farmington, CT 06030-5130
      Telephone: (860) 679-3563
      Email: equity@uconn.edu
      OICR’s Discrimination Complaint Procedures: equity.uconn.edu/policiesprocedures/
       Labor Relations
      9 Walters Avenue, Unit 5075
      Storrs, CT  06269-5075
      Telephone: (860) 486-5684
      Website: hr.uconn.edu/employee-relations/       		 Labor Relations
      Munson Building
      263 Farmington Avenue
      Farmington, CT 06030-4035
      Telephone: 860-679-8067
      Website: health.uconn.edu/human-resources/services/employee-labor-relations/

      ADDITIONAL RESOURCES

      In addition to the resources above, the following offices may be helpful to University workforce members and students who believe they are experiencing retaliation.

      Employee Assistance Program
      Website: https://hr.uconn.edu/employee-assistance-program/

      University Ombuds
      Website: https://ombuds.uconn.edu/

      Dean of Students Office
      Website: https://dos.uconn.edu/

      UConn Cultural Centers
      Website: https://provost.uconn.edu/cultural-centers-programs/

      ENFORCEMENT

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

      POLICY HISTORY

      Policy Created: 9/22/2009

      Policy Revised:
      10/22/2012 (No substantive revisions)
      05/03/2021 (Approved by President’s Cabinet)
      11/19/2025 (Approved by the Senior Policy Council and President)