Voluntary Leave and Schedule Reduction Policy

June 2, 2011

Title:	Voluntary Leave and Schedule Reduction Policy
Policy Owner:	Human Resources
Applies to:	Faculty, Staff
Campus Applicability:	All Campuses
Effective Date:	January 23, 2009
For More Information, Contact	Human Resources
Contact Information:	(860) 486-3034
Official Website:	http://www.hr.uconn.edu/

Overview:

The State has legislated a Voluntary Schedule Reduction Program in which participation is entirely voluntary, subject to the approval of the agency’s appointing authority. The Legislative Regulation Review Committee approved the final Regulations on March 19, 1996. Employees who participate will receive time off without pay, but will continue to receive health insurance and other benefits in accordance with their collective bargaining agreement. Human Resources will not approve requests if the services need to be replaced during the period of leave. Employees may not substitute voluntary leave for medical leaves.

Plan Options:

Classified Employees:

(Administrative & Residual; AFSCME Social and Human Services and Administrative Clerical; CEUI Maintenance; CSEA Engineering & Scientific; Protective Services; 1199 Health Care Workers)

A. Sporadic Days Off – pre-scheduled, non-sequential days off (Friday and Monday are NOT considered to be sequential

B. Work Schedule Reductions – – the University will not approve requests for schedule reductions to a previously negotiated workweek (e.g., 35 or 37.5 hours). Examples of possible work schedule reductions for full-time employees are:

4 day workweek (20% reduction)
4 days a week with each day extended, but not equaling a full week’s schedule
9 days per pay period (10% reduction)
Mornings or afternoons off (50% reduction)

Unclassified Employees: (AAUP, UCPEA, Managerial/Confidential)

A. Sporadic Days Off – pre-scheduled days off less than one week at a time.

B. Work Schedule Reduction:

4 day workweek (20% reduction)
4 days a week with each day extended, but not equaling a full week’s schedule
9 days per pay period (10% reduction)
Mornings or afternoons off (50% reduction)

C. Leave of Absence without Pay – unpaid leave from 1 to 24 weeks at a time.

D. Educational Leave – 3 or more months without pay to participate in an educational program.

Eligibility:

Any permanent state employee may apply for participation in the Voluntary Schedule Reduction Program. A permanent employee is one holding a position in the classified service under a permanent appointment or one holding a position in the unclassified service who has served in such a position for more than six months.

Application Procedure:

An employee submits a completed application to his/her supervisor. The supervisor reviews the application, noting the impact on departmental operations, and either approves, modifies or denies the request, sending it to Human Resources for a final decision. Should the supervisor be unable to approve the request because of departmental needs, he/she may discuss possible alternatives (if any) with the employee. If no alternative is possible, the supervisor will indicate on the form the reason the request cannot be granted. Since approvals are entirely at management discretion, denials are not grievable.
Applications should be submitted to Human Resources at least two weeks in advance of the desired leave, and should include starting and ending dates, dates of individual leave days (if sporadic), and the number of hours of leave requested. The use of accrued time or compensatory time earned and accumulated pursuant to the provisions of any collective bargaining agreement or to an order of the Commissioner under Section 5-200(p) of the Connecticut General Statutes is not a condition precedent to being granted a schedule reduction under these regulations.
A schedule reduction will not be granted if it would result in an employee falling below the threshold for eligibility for health insurance benefits, less than half time.
The program will operate by the fiscal year (July 1st through June 30th), so the requested dates on each application should fall within those dates.

Changes to Approved Applications:

In the event of a change of plans, employees on a voluntary schedule reduction should apply for a modification. The new application should be marked “REVISED” and routed in the same manner as the original request.

Benefits and Status:

An employee whose application is approved shall be entitled to benefits as follows:

Health and Life Insurance:

During the period of any approved leave or work schedule reduction, an employee’s health and life insurance will continue on the same basis as before the leave or schedule modification. The employee must contribute, on an on-going basis, that portion of the premiums that would normally have been payroll-deducted.

Seniority and Longevity:

An employee shall receive all seniority credit and the full longevity benefit without regard to the leave or reduced work schedule. (Longevity payment to an employee on leave shall be paid in accordance with Regulations 5-213-1)

Vacation and Sick Leave Accruals:

An employee on a reduced work schedule shall continue to accrue vacation and sick leave at the same rate as prior to the schedule reduction and shall not lose accruals for any month as a consequence of a schedule reduction.
An unclassified employee who takes a leave of absence without pay shall continue to accrue vacation, if applicable, for up to two months subject to any accrual maximums in the collective bargaining agreement. An employee who takes a leave of absence for more than two months will cease accruing vacation time after the first two months. In order to be eligible for payment of these accruals, an employee must be reinstated from the leave for at least two months.

Holidays:

An employee on a schedule reduction shall be granted time off with pay for any legal holiday which falls on a day when he would otherwise have been scheduled to work. If an employee is required to work on a holiday, he/she shall be granted a day off in lieu thereof. If a holiday falls on a day when an employee would not have been scheduled to work as a result of a schedule reduction, he/she shall receive pro-rata holiday credit at the percent of his/her scheduled weekly hours.

Examples: If 4th of July falls on a Friday:

Employee reduces schedule to a 4-day workweek, with Monday’s off and recieves full pay for holiday on Friday (not to exceed the number of hours in a regular work day
Employee reduces schedule to a 4-day workweek, with Fridays off, receives 80% credit – based on percentage of time worked on the reduced schedule – (recorded as earned time), since he/she was not scheduled to work on Fridays.

*An unclassified employee who takes a leave of absence without pay (Option C) will not receive pay for any legal holiday falling during the leave.

Workers’ Compensation:

Any benefits to which an employee is entitled under Worker’s Compensation Statutes shall not be affected by a schedule reduction.

Retirement:

As of June 8, 1994, an employee shall receive full credit towards retirement for voluntary leave only when it totals 22 work days, whether it be for sporadic days off, work schedule reduction or blocks of time. Employees shall not be required to contribute any sums for that credit. Each accumulation of 22 days of voluntary leave will equal a calendar month of retirement credit. Note that voluntary leave which totals less than 22 working days will not be credited towards retirement.

Employees may direct their inquiries about retirement credit for voluntary leave taken before June 8, 1994 to a retirement specialist at (860) 486-0413.

Overtime:

Overtime payment during a schedule reduction will continue according to the employee’s collective bargaining agreement or Section 5-245 of the Connecticut General Statutes. Calculations of overtime payment will not include schedule reduction hours as time worked.

Initial or Promotional Probationary Employees:

An employee in an Initial Working Test period is not eligible to participate.
Days off which are taken as a result of this program will not be counted toward the completion of a Promotional Working Test period.

Questions may be addressed to the Leave Administrator in Human Resources at (860) 486-3034.

Use of Students in Outside Employment

Title:	Use of Students in Outside Employment
Policy Owner:	Office of University Compliance
Applies to:	Faculty, Staff
Campus Applicability:	All Campuses, including UConn Health
Effective Date:	July 14, 2015
For More Information, Contact	Office of University Compliance
Contact Information:	(860) 486-2530
Official Website:	https://compliance.uconn.edu/

Background and Reasons for the Policy: The Code of Ethics for Public Officials preclude public employees from accepting other employment which will impair the employee’s independence of judgment or otherwise create a conflict of interest.

Purpose of Policy: To provide guidance on the employment of students by faculty and staff for work external to the University.

Expected Institutional Outcome: Compliance with the Code of Ethics.

Applicability of Policy: All employees.

Policy Statement: Pursuant to Connecticut General Statute Section 1-84(b) of the Code of Ethics for Public Officials, a state employee may not accept other employment which will impair his/her independence of judgment as to his/her official duties or employment. Furthermore, in accordance with Connecticut General Statute Section 1-86 and the Regulations of Connecticut State Agencies Section 1-81-29, a state employee with a potential conflict of interest must inform his/her supervisor who shall assign the matter to another who is not subordinate to the individual with the conflict.

Potential conflicts may occur when a University employee hires a student in any non-University supported activity. Therefore, employees who choose to employ students in any non-University activity must obtain written approval from their Department Head/Dean/Director prior to employing the student. Faculty members who wish to hire a graduate student and who teach a course in which the student is enrolled, serve as a member of the student’s thesis or dissertation committee, or serve as the student’s advisor or the director of his or her thesis or dissertation research must also receive written approval from the Dean of the Graduate School. 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.

Students have on-going recourse to the Provost who will consult with the Dean of the Graduate School (for graduate students) or the Vice Provost for Academic Affairs (for undergraduate students) in order to address any grievances that may arise during the term of the employment.

Failure to comply constitutes a violation of the State ethics code and University policy and is subject to disciplinary procedures of both.

Responsibilities: All employees.

Use of Students in Outside Employment Letter Template

History

Revised: 07/13/2015; 12/16/2014; 06/23/2008

New Policy: 03/01/2004

University Library Copyright Policies

Title:	University Library Copyright Policies
Policy Owner:	University Library Copyright Project Team
Applies to:	Faculty, Staff, Others
Campus Applicability:	Storrs and Regional Campuses
Effective Date:	May 29, 2007
For More Information, Contact	University Libraries
Contact Information:	860-486-2518
Official Website:	http://lib.uconn.edu/

Background and Reasons for the Policy

The University of Connecticut Libraries provide high quality collections and information services in support of the University’s research and educational missions. In its endeavors, the University Libraries are committed to compliance with intellectual property law and the preservation of the rights of copyright owners and users of copyrighted materials. The University Libraries also seek to ensure that members of the university community know their rights and responsibilities under the provisions of the U.S. copyright law (17 U.S.C. Section 107), and are able to apply them regarding their use of copyrighted works.

Purpose of the Policy

These policies define the parameters of service provided by the University of Connecticut Libraries with regard to compliance with U.S. copyright law, the doctrine of fair use, and related exceptions in the law for library services.

Expected Institutional Outcomes

These policies provide basic information and guidance regarding the use of copyrighted material by University of Connecticut Libraries staff and users of library services. They answer many common questions regarding the use of copyrighted materials and provide contacts and resources for more information.

Policy Statement

These policies are maintained and updated on the University of Connecticut Libraries web site at http://www.lib.uconn.edu/copyright/.

Drafted by the Copyright Project Team 2/19/07 at the suggestion of:

Denielle M. Burl, Esq., University Legal Specialist; and
Rachel Rubin, Director of Compliance, Office of Audit, Compliance & Ethics

UConn Degrees Earned by Faculty

Title:	UConn Degrees Earned by Faculty, Policy on
Policy Owner:	Office of the Provost
Applies to:	Faculty
Campus Applicability:	All Campuses, Schools and Colleges except the Schools of Medicine, Dentistry, and Law
Approval Date:	February 27, 2024
Effective Date:	February 29, 2024
For More Information, Contact	Office of the Provost
Contact Information:	860-486-4037 provost@uconn.edu
Official Website:	https://provost.uconn.edu

PURPOSE

University of Connecticut faculty may occasionally seek to earn a degree from the University. This policy aims to ensure that their role as a faculty member does not conflict with their role as a student.

POLICY STATEMENT

University of Connecticut faculty members who hold tenure, or a rank higher than instructor leading to tenure, ordinarily may not earn a graduate degree at this institution. Exceptions to this policy may be made on a case-by-case basis and require approval of the Unit Head and the Dean of the School or College of the department home (encompassing both primary and secondary department for faculty with joint appointments) of the faculty member, as well as the Provost. All parties must be satisfied that the intended program is in the best interests of the University. The faculty member may not seek to earn a degree in their primary (or secondary) department home. Should the faculty member seek a graduate degree in their primary School or College, the Unit Head and Dean must implement a plan to mitigate conflicts of interest should any arise.

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, and applicable collective bargaining agreements.

POLICY HISTORY

Policy created: August 28, 1987

Revisions:

May 29, 2007
February 27, 2024 (Approved by the Senior Policy Council and the President)

Surplus Property Policy and Procedures

Title:	Surplus Property Policy and Procedures
Policy Owner:	Facilities Operations, Logistics
Applies to:	University Workforce Members, Students
Campus Applicability:	Storrs and Regional Campuses
Approval Date:	December 24, 2024
Effective Date:	January 1, 2025
For More Information, Contact	Surplus Operations
Contact Information:	surplus@uconn.edu
Official Website:	Surplus \| Facilities Operations

BACKGROUND

Proper disposition of State of Connecticut assets is required pursuant to Section 4a-57a of the Connecticut General Statutes. The University of Connecticut has the authority to dispose surplus, unused and/or unserviceable equipment and supplies in compliance with C.G.S. 4a-57a. The University of Connecticut Surplus Department (“the Surplus Department”) is responsible for administering the University’s Surplus Program and is authorized to make the determination regarding the disposition of assets that are no longer utilized by University departments.

PURPOSE

To establish the authority of the Surplus Department to administer the University’s Surplus Program in accordance with Federal Uniform Guidance regulations and Connecticut State statutes. This includes the authority to establish and maintain processes and procedures for the proper inventory control of the University’s tagged assets.

APPLIES TO

UConn Workforce Members at the Storrs and Regional Campuses. This policy does not apply to the deaccession of objects held by University Collections.

POLICY STATEMENT

The Surplus Department will determine the disposition of assets based on their condition and whether the asset(s) may be reissued to another department, transferred to another state agency or municipality, or donated to a nonprofit organization. Under no circumstances shall University property be discarded without proper disposition through the University’s inventory control and disposition software.

Assets acquired with grant funds must be disposed of in accordance with applicable federal regulations, sponsor requirements, and University policies. The Principal Investigator (PI) is responsible for ensuring compliance with the specific requirements set forth by the sponsoring agency, federal regulations, and University policies.

Export Control must be notified prior to disposing assets:

with an export control classification number (ECCN) or US Munitions List (USML) classification; or
created as a result of research conducted on behalf of and/or procured by sponsored funding from the U.S. Department of Defense or similar military and intelligence agencies in the US or abroad.

ENFORCEMENT

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

PROCEDURES

The Surplus Department uses the Asset Panda software (“Asset Panda”) to streamline the surplus process and track all University tagged assets. Departments must update the status of assets from “active” to “surplus” within Asset Panda. Assets not already in Asset Panda must be added by the department before being declared surplus. Asset Panda then transmits this information to the Surplus Department for review and processing.

University departments must follow these Procedures to send the following assets to the Surplus Department:

Refrigeration Units: Departments must enter a work order through Facilities Operations to remove refrigerants from refrigeration units as required by state and federal environmental regulations. Departments must forward the work order number with the asset entry before the Surplus Department will schedule a pickup.
Motors: Departments must submit a work order to Facilities Operations to remove oils from the motors as required by state and federal environmental regulations. Departments must forward the work order number with the entered asset as proof of the completed removal before the Surplus Department will schedule pickup.
Electronics with hard drives: It is the department’s responsibility to surplus all electronics with hard drives via Asset Panda and the Surplus Department’s responsibility to coordinate the hard drive destruction.

Employees may not purchase University assets directly from University departments, including assets such as cell phones, laptops, and wireless devices, among others. All assets must be processed through the Surplus Department when no longer needed.

The Surplus Department will determine whether assets sent to them will be recycled, made available to University departments, other state agencies or municipalities through the DAS surplus program/website.

REFERENCES

Code of Federal Regulations Title 2, Subtitle A, Chapter II, Part 200
Connecticut General Statutes § 4a-57a. (Distribution of surplus state property)

University Policy: Sponsored Award Closeout
Asset Panda Request and Training

POLICY HISTORY

Policy created: 2004
Revisions:
2014
06/07/2021 (Approved by President’s Cabinet)
07/26/2021 (Editorial revisions)
12/24/2024

Smoking Policy

Title:	Smoking Policy
Policy Owner:	Human Resources
Applies to:	Faculty, Staff, Students, Others
Campus Applicability:	All Campuses, except UConn Health
Approval Date:	October 25, 2023
Effective Date:	October 25, 2023
For More Information, Contact:	Human Resources
Contact Information:	(860) 486-3034 or hr@uconn.edu
Official Website:	http://hr.uconn.edu

PURPOSE

The University of Connecticut is committed to providing a safe and healthy working and learning environment that is free of tobacco products, environmental tobacco smoke, and other smoking-related by-products. In keeping with this commitment, and in compliance with Connecticut General Statutes §§ 31-40q(d) 19a-342 and 19a-342a, tobacco use and/or smoking of any kind, including e-cigarettes and vape pens is prohibited as set forth below.

APPLIES TO

All University employees, students, visitors, guests, and contractors are required to comply with this policy.

DEFINITIONS

Smoking[1]: For the purposes of this policy, “smoking” includes the use of cigarettes, cigars, pipes, electronic cigarettes (e-cigarettes), vape pens, and similar products.

POLICY STATEMENT

Smoking (including vaping) is prohibited:

In all University owned or leased buildings, facilities, and vehicles.
Within 25 feet of all campus buildings, including residence halls.

The University will post signage communicating these prohibitions within 10 feet of all building entries.

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 Student Code.

Individuals in management or supervisory roles are responsible for communicating the policy to their employees and enforcing the policy in their respective area(s). If an individual refuses to comply with this policy after being warned by the appropriate University officials, then actions should be taken as follows:

Student violations: Contact the Office of Community Standards

Phone: 860-486-8402
Email: community@uconn.edu

Employee violations: Contact Labor Relations

Phone: 860-486-5684
Email: laborrelations@uconn.edu

Contractor violations: Contact University Business Services at 860-486-2619

No person who reports a violation of this policy or who furnishes information concerning a violation of this policy shall be retaliated against in any manner.

POLICY HISTORY

Policy adopted: June 7, 2016
Revisions: October 16, 2023

[1] As a recipient of federal funding, the University is required to prohibit the use and/or possession of all federally controlled substances, including marijuana.

Reporting Name and Address Changes

May 31, 2011

Title:	Reporting Name and Address Changes
Policy Owner:	Registrar’s Office
Applies to:	Students
Campus Applicability:	Storrs and Regional Campuses
Effective Date:	November 1, 2002
For More Information, Contact	Office of the Registrar
Contact Information:	(860) 486-3331
Official Website:	http://registrar.uconn.edu/

Undergraduate students must report any change of name and commuting or permanent address at the time such change occurs to the Office of the Registrar. Name changes require official documentation. Changes made by the Registrar’s staff will update the information that appears on the University websites Directory of students’ names and addresses.

Please contact the Registrar’s Office at 486-3331 with any questions.

Reimbursement of Recruitment Expenses Policy and Procedures

Title:	Reimbursement of Recruitment Expenses Policy and Procedures
Policy Owner:	Committee formed by the Office of the Provost
Applies to:	Faculty
Campus Applicability:	All Programs at all Campuses except UConn Health
Effective Date:	August 7, 2013
For More Information, Contact	Workforce Solutions/ Office of the Provost
Contact Information:	(860) 486-3034
Official Website:	http://hr.uconn.edu/

Reason for Policy

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

The hiring process consists of three phases: the interview phase, the offer and acceptance phase, and the move phase. The interview and offer and acceptance phases constitute the recruitment process. For expenses incurred in connection with the move phase, please see the Reimbursement of Moving Expenses Policy. Depending on the phase, payments vary and are subject to different tax rules.

This policy allows for reimbursement and/or direct pay of one trip per recruitment phase. Reimbursements for additional visits must be authorized by the President and/or Provost.

The Interview Phase Policy Statement

The interview phase commences upon the first interview and ends upon extension of a written offer to the candidate. The date the request to hire is submitted is considered the extension of a written offer.

Any department seeking to recruit for a position of sufficient importance may, with the approval of the Dean, Director or Department Head, pay full or partial travel expenses of candidates who must travel to interview for the position. All costs of the interview are the responsibility of the department.

Following approval by the Dean, Director or Department Head, the department may proceed with arrangements for interviews. All candidates should be advised of allowable expenses prior to the interview. Payments or reimbursements for companions during the interview phase are not permitted.

The University’s Travel and Entertainment Policies and Procedures apply to candidate searches. Costs for airline tickets may be charged to the University contracted travel agency. Please refer to the University’s Travel and Entertainment Policies and Procedures for additional information regarding approved class of travel.

Procedure

Prior to the candidate’s visit to the University, or as soon as feasible, the sponsoring department should set up the candidate as a vendor using the Vendor Create process in the Kuali Financial System (KFS). After the vendor has been created and the trip has been completed, a Disbursement Voucher needs to be initiated by the department. Payment will disbursed by the Accounts Payable Department after appropriate routing and approval through KFS. Claims for reimbursement must be itemized and original receipts supporting all claims must be included. The following information should also be included in the Disbursement Voucher:

Vendor Number
Date of interview
Title of position
Search number
Itemization of expenses
KFS Account Number and Object Code to be charged
All supporting receipts must be scanned and attached to the Disbursement Voucher in KFS

The Offer and Acceptance Phase Policy Statement

The offer and acceptance phase occurs between the date of the extension of a written offer and the move phase, which is defined as the final one-way trip of the selected candidate and their family to the primary duty station.

Once the job offer has been extended, and with the approval of the Dean, Director or Department Head, the following offer and acceptance related expenses may be requested for reimbursement for the employee and one immediate family member defined as a spouse or child:

Transportation (please refer to Part 2 and Part 3 of the Travel and Entertainment Policies and Procedure.
Lodging (please refer to Part 4 the Travel and Entertainment Policies and Procedures for guidelines regarding accommodations)
Meals (please refer to Part 5 of the Travel and Entertainment Policy and Procedure)

Such expenses incurred in connection with the offer and acceptance phase are considered Nonqualified (Taxable) Expenses subject to withholding of applicable income taxes, social security and Medicare taxes. Reimbursements are included in taxable income and reported on the annual Form W-2. Any expenses incurred through any direct pay vendor, including Nathan Hale Inn or any contracted University booking agencies for air travel, need to be properly classified and reported to the Payroll Department as taxable income by the University department incurring the cost for the expenses or sponsoring the search.

Procedure

Requests for reimbursement of expenses incurred during the offer and acceptance phase should be submitted to the Payroll Department on the Recruitment Expense Reimbursement- RE form. The Payroll Department will review the request to ensure compliance with this policy. Reimbursement requests that do not have the required two signatures will not be processed.

All claims for expense reimbursement must be supported by original receipts. Payment will be included in the employee’s paycheck.

Please Note: Reimbursements using UConn Foundation funds, or other private sources, will be remitted to the University and paid to the employee as if they were University funds. Departments are permitted to supplement the cost of recruitment expenses from their own departmental funds.

Approval

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

Public Participation at Board of Trustee Meetings

Title:	Public Participation at Board of Trustee Meetings
Policy Owner:	Board of Trustees
Applies to:	Faculty, Staff, Students, Others
Campus Applicability:
Effective Date:	January 5, 2004
For More Information, Contact	Board of Trustees
Contact Information:	(860) 486-2333
Official Website:	http://boardoftrustees.uconn.edu/

Under the conditions described below, the Board shall hear brief oral presentations from members of the public who wish to express their views on matters pending before the Board or on other issues of concern to the University.

The agenda for each regular open meeting shall allot time for the Board to hear brief oral presentations from members of the public who request such opportunity.
Requests to address the Board shall be made to the Chairman or the Executive Secretary of the Board preferably at least 24 hours before the beginning of the meeting, but in no case after the meeting has been called to order. In signing up to address the Board, each speaker shall specify the subject to be addressed.
The Chairman of the Board shall recognize each speaker in the order of signing up, request proper identification, maintain proper order, and require adherence to time limits.
In public participation period, the Board shall not hear public comment regarding individual University employees, matters in litigation, or other subjects properly to be considered in executive session as specified under the statutes.
At a special meeting of the Board, comment by members of the public shall be limited specifically to the purpose for which the meeting has been called.
The Board will give due attention to all oral presentations from the public, but is neither required nor expected to respond immediately to questions or issues.

Pre-Award/Advance Account Policy

Title:	Pre-Award/Advance Account Policy
Policy Owner:	Office of the Vice President for Research, Sponsored Program Services
Applies to:	Faculty and staff conducting sponsored program activity at Storrs and the regional campuses
Campus Applicability:	All campuses except UConn Health
Effective Date:	July 7, 2015
For More Information, Contact	Office of the Vice President for Research, Sponsored Program Services
Contact Information:	(860) 486-3622
Official Website:	http://ovpr.uconn.edu

REASON FOR POLICY

To enable Principal Investigators (PI) who have demonstrated a need to begin project-related activity on sponsored projects prior to receipt of the award notice or executed contract.

APPLIES TO

Faculty and staff conducting sponsored program activity at Storrs and the regional campuses.

DEFINITIONS

Pre-Award Account: A pre-award account will be used for federal grants where costs are allowed up to 90 days prior to the official start date of the award under expanded authorities granted to the University.

Advance Account: Advance accounts will be established for those federal and non-federal awards not eligible for pre-award coding. Costs can only be incurred on advance accounts as of the sponsor approved start date.

POLICY STATEMENT

The Office of the Vice President for Research, Sponsored Program Services (OVPR SPS) will establish Pre-Award or Advance Accounts under the following conditions:

There is a demonstrated need by the PI to incur expenditures prior to the proposed start date (pre-award accounts) or prior to receipt of the executed contract (advance accounts). Acceptable reasons for requesting an account include, but are not limited to the following:

Making employment offers and completing payroll authorizations
Equipping a lab or purchasing supplies
Purchasing equipment early to take advantage of a discounted price

Accounts also require that:

A full copy of the proposal for the project is on file in OVPR SPS
OVPR SPS personnel are able to determine that pre-award expenditures are allowed, or in the case of advance accounts, it is likely that an award is forthcoming or contract will be executed
When applicable, required compliance approvals have been obtained

This policy does not apply to Federal earmark funding.

ROLES AND RESPONSIBILITIES

Principal Investigators are responsible for submission of pre-award or advance account requests that are consistent with this policy and in accordance with our published procedures.

OVPR SPS is responsible for responding to inquiries about this policy or procedures and approving account request.

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

See OVPR SPS website for Pre-Award or Advance Request Form.

POLICY HISTORY

Policy created: 2/19/2008

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