Disclosure of Other Support, Policy on

Title: Policy on Disclosure of Other Support
Policy Owner: Office of the Vice President for Research,
Sponsored Program Services
Applies to: All Workforce Members and Students who engage in or propose to engage in sponsored programs
Campus Applicability: All UConn Campuses
Approval Date: September 29, 2025
Effective Date: October 1, 2025
For More Information, Contact: Senior Director of Sponsored Program Services at UConn and
Director of Pre-Awards Services at UConn Health
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)

BACKGROUND

Research sponsors may require disclosure of resources available to personnel (Other Support) during the proposal process, prior to an award being made, and/or as part of progress reports. Sponsors use the information to ensure scientific, budgetary, or commitment overlaps do not occur, and in many instances to identify potential undue foreign influence.

While all federal sponsors have requirements for other support, the National Institutes of Health requires institutions to have a policy and training on the disclosure of other support.

PURPOSE

To set forth the requirements for disclosure of Other Support for sponsored projects to comply with provisions of federal law, Office of Management and Budget regulations, and specific sponsor requirements.

APPLIES TO

This policy applies to all UConn Storrs, Regional Campuses, and UConn Health workforce members and students.

DEFINITIONS

Other Support: All resources made available to Senior and Key Personnel in support of and/or related to all their research endeavors, regardless of whether or not they have monetary value or are based at the institution the researcher identifies for the current grant or contract. This includes resources and/or financial support from all entities, foreign or domestic, including, but not limited to, financial support for laboratory personnel and provision of high-value materials that are not freely available (e.g. biologics, chemicals, model systems, technology, etc.).

Other Support includes, but is not limited to:

  • Ongoing grants, contracts, and awards that support the Senior and Key Personnel’s research, along with proposals under submission;
  • All resources to which Senior and Key Personnel have access that are potentially related to Senior and Key Personnel research and/or that directly support Senior and Key Personnel work;
  • Resources that do not have a dollar value attached to them;
  • Resources available to Senior and Key Personnel at other institutions outside of the University of Connecticut, including from institutions located in other countries outside of the U.S.A.;
  • Positions or scientific appointments relevant to the application, including domestic or foreign, paid or unpaid, or full-time/part-time/voluntary/consulting, such as adjunct, visiting, or honorary appointments;
  • All sponsored awards held at the University of Connecticut, another institution/entity, or held as an individual, that support Senior and Key Personnel research efforts;
  • Start-up packages from entities other than the University of Connecticut;
  • Institutional awards at the University of Connecticut or any other institutions subject to separate budgets and accounting;
  • Office or laboratory space, equipment, supplies, employees, scientific materials, travel, living expenses, or other in-kind contributions available to Key Personnel outside of the University of Connecticut, both domestic and foreign;
  • Consulting activities that involve conducting research, regardless of whether remuneration is received;
  • Collaborations with other researchers outside of UConn that directly benefit the Senior and Key Personnel’s research endeavors; and
  • Selection to a foreign “talents” recruitment program or similar-type program.

Senior and Key Personnel: An individual who contributes in a substantive, meaningful way to the scientific development or execution of the scope of work of a project proposed to be carried out with a sponsor, whether or not they receive salary or compensation under the grant. This definition may include consultants, postdoctoral research associates, or other roles beyond Project Director or Principal Investigator/Co-Investigator.

POLICY STATEMENT

All workforce members and students who engage in sponsored projects will comply with federal law, University policy, and sponsor agency requirements regarding disclosure of Other Support and associated training.

Every disclosure to an external funding agency of active, pending, or previous sources of support for research and other sponsored activities must be current, accurate, and complete to the best of the researcher’s knowledge, regardless of the source of support, and whether or not UConn or UConn Health is the recipient of the support.

It is the responsibility of the Principal Investigator to ensure that all members of the project team understand the need to properly disclose Other Support information in accordance with sponsor agency requirements.

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. In addition, false, fictitious, or fraudulent statements or claims (including intentional omissions) in violation of this policy may result in administrative, civil, or criminal penalties.

RELATED POLICIES

Consulting for Faculty and Members of the Faculty Bargaining Unit, Policy on | University Policies

Financial Conflicts of Interest in Research | University Policies

PROCEDURES/FORMS

OVPR SPS (UConn and Regional campuses) Website: Current (Active) and Pending Support

OVPR SPS (UConn Health) Website: Active and Pending Support

POLICY HISTORY

Policy created: 09/29/2025 (Approved by the University’s Senior Policy Council and President)

Policy Updates in August 2025

August 9, 2025

As part of the University’s ongoing commitment to maintaining clear, relevant, and streamlined policies, several University Policies have been revised, transitioned to department-level standards documents, or decommissioned.

(more…)

Approval Authority for Financial Transactions, Policy on

July 1, 2025

Title: Approval Authority for Financial Transactions, Policy on
Policy Owner: Office of the Executive Vice President for Finance and Chief Financial Officer
Applies to: University Workforce Members
Campus Applicability: All UConn Campuses, except UConn Health
Approval Date: May 29, 2025
Effective Date: July 1, 2025
For More Information, Contact: University of Connecticut Controller’s Office
Contact Information: 860-486-2937
Official Website: https://controller.uconn.edu

PURPOSE

To ensure financial transactions are approved by individuals with the necessary knowledge and oversight authority. This policy outlines the criteria for granting approval authority and necessary internal controls and required documentation for the overall approval process.

Note: This policy does not address the authority to sign contracts on behalf of UConn which is covered by  “UConn Delegation of Contract Approval and Signature Authority” and accompanying procedures. 

APPLIES TO

This policy applies to any University Workforce Member who approves UConn financial transactions, including independent contractors, affiliates, and UConn Health employees with access to UConn’s financial systems.

DEFINITIONS

Authorized Approver: A person authorized to approve financial transactions at the University due to their expertise, oversight, and understanding of the transaction’s nature and implications.

Authorized Delegate: A person authorized to approve a financial transaction on behalf of the Authorized Approver.  NOTE: For payroll/timesheet transactions and travel expense approvals, the Authorized Delegate must be of equal rank or higher than the Authorized Approver.

Financial Transaction: Any transaction processed within UConn’s financial systems with a financial implication to the University.

Financial Systems: All electronic systems used by the University to process financial transactions including, but not limited to:

  • Core-CT – Time and labor system
  • Concur Travel System (Concur)
  • Kuali Financial System (KFS) – Financial enterprise resource system
  • HuskyBuy – Purchasing system
  • HuskyTime – Student time tracking system
  • Public Safety Payroll (PSP) – NP-5 Bargaining Unit employee time tracking system
  • PeopleSoft Student Administration System (Student Administration) – Student admissions, financials, financial aid, and records
  • UKG – Dining Services student time tracking system

POLICY STATEMENT

The authority to receive or spend University funds is granted only to necessary individuals with direct knowledge of relevant Financial Transactions. Authorized Approvers and Authorized Delegates are expected to act responsibly, exercise sound judgment, and thoroughly review transactions in accordance with the internal controls outlined below before approving them.

Individuals Eligible for Approval Authority 

Individuals must meet the following minimum criteria to be eligible for approval authority:

  • Current, active UConn or UConn Health employee, independent contractor or affiliate (NOTE: Independent contractors and affiliates are not eligible to approve payroll or timesheet transactions);
  • Competent and skilled in respective area(s) of responsibility; full understanding of the transactions needing approval;
  • Adequately trained in the financial systems used for approval.

Granting, Changing, or Terminating Approval Authority

Authorized Approvers must be designated by their Department Head or equivalent senior manager. Authorized Approvers may identify an Authorized Delegate within their department with approval from their Department Head or equivalent. The Department Head is responsible for defining the types of financial transactions the Authorized Approver or Authorized Delegate can approve and setting any approval limits, such as dollar amounts, specific expenditures, or certain vendors. They must also ensure the Authorized Approver’s authority is commensurate with their experience, knowledge, skills, and position at the University. Although the Authorized Approver can delegate authority to others (with prior approvals from the Department Head or equivalent senior manager), they remain accountable for the approval of each financial transaction.

Any changes to the scope of transactions approved by an Authorized Approver or Authorized Delegate must be communicated in writing by the Department Head or equivalent to the IT or system administrator of the applicable financial system.

Approval authority can be revoked by the Department Head, Senior Management, Human Resources, Information Technology Services, or the University Controller at any time and must be no later than the employee’s last day in their current position.

If an Authorized Approver no longer serves in the position for which their authority was delegated, their approval authority terminates effective immediately.

Internal Controls and Segregation of Duties

The following principles must be upheld through implemented controls and systems:

  • Authorized Approvers cannot approve transactions they created, payments to themselves, or any transaction that impacts them financially.
  • Authorized Approvers must approve transactions within a timely manner and within the scope defined by their Department Head.
  • Authorized Approvers must ensure transactions comply with University policies and procedures, applicable laws and regulations.
  • Authorized Approvers must only approve transactions that are accurate, reasonable, and supported by documentation.
  • Authorized Approvers must verify that funds are available within the approved budget and are allowable and allocable under the appropriate funding source(s) as applicable.
  • Authorized Approvers must confirm goods/services were received or performed before final payment is approved.

Specific financial systems may have built-in flexibility regarding the above internal controls.

Documentation Requirements

Approval Authority

A formal request is required to grant an individual approval authority of financial transactions within UConn’s financial systems. The request is initiated by the individual requesting approval authority or their supervisor. The request must be approved by the Department Head or the equivalent level of senior management and be sent to the IT or system administrator that oversees the applicable financial system and must include:

  • The individual’s full name, NetID, and department.
  • A description of the transactions for which approval authority is granted.
  • Specific exclusions (e.g., dollar limits, goods/services, customers, vendors).
  • The effective start and end dates (if applicable) of the approval authority.

Transactional Approval Documentation

Most UConn financial systems require the use of UConn email addresses or NetID to access the application and track approval actions through a routing log or activity history, documenting the date, time, and action performed.

For approvals permitted to exist outside of an electronic system, the Authorized Approver must sign and date their approval before the financial transaction progresses through the workflow.

PROCEDURES

Procedures regarding the implementation of this policy are available here. These procedures are adopted under the authority of the Executive Vice President for Finance and Chief Financial Officer, President or designee.

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.

POLICY HISTORY

Policy created: 05/29/2025 (Approved by the Senior Policy Council and President)

 

Tax Credit Incentive Program, Policy On

June 24, 2025

Title: Tax Credit Incentive Program, Policy On
Policy Owner: Division of Athletics
Applies to: University Workforce Members
Campus Applicability: All UConn Campuses except UConn Health
Approval Date: June 20, 2025
Effective Date: July 1, 2025
For More Information, Contact: Director of Athletics
Contact Information: (860) 486-2725

PURPOSE

The University of Connecticut (“University”) administers a UConn Tax Credit Program (“Program”) to encourage the promotion and public recognition of the University and its programs, services, or mission. This policy sets forth the framework required to comply with Connecticut law.

APPLIES TO

All University workforce members.

DEFINITIONS

Credit: A Connecticut state tax credit equal to 50% of payments made under a qualified agreement for the applicable taxable or income year, not to exceed $500,000 per taxpayer, per taxable or income year, with an aggregate annual program cap of $5 million per calendar year.

Qualified Agreement: A written agreement to which (1)  a Taxpayer and the University are parties, and (2) one which the University has determined, in accordance with written procedures, provides for  payments  that will encourage the promotion and public recognition of the University’s Division of Athletics program, services, or mission.

Reservation: A written acknowledgement issued by the University that it has reserved a tax credit equal to the amount of the expected tax credit to be awarded to the taxpayer pursuant to a qualified agreement, and issued on a first-come, first-served basis.

Taxpayer: Any person, as defined in section 12-1 of the general statutes, whether or not subject to any taxes levied by Connecticut, that executes a qualified agreement.

Voucher: A certificate issued by the University which authorizes the taxpayer to claim a tax credit on their Connecticut tax return.

POLICY STATEMENT

The Division of Athletics, in consultation with the Office of the Controller, is responsible for establishing and administering the Program.

The Director of Athletics ensures that all Qualified Agreements support the University’s athletic activities that promote or enhance public recognition of the University’s mission, program, or services. Acceptable activities include, but are not limited to, sponsorships, marketing partnerships, and other initiatives approved by the Director of Athletics.

The University may not issue Vouchers that, in aggregate, exceed $5 million in Credits for any calendar year. No Taxpayer may receive more than $500,000 in tax credits per income or taxable year.

University employees directly involved in negotiating or administering Qualified Agreements may not personally benefit from, or hold a financial interest in, any Taxpayer receiving Credit.

The Division of Athletics and the Tax and Compliance Office shall adopt procedures concerning the implementation of this policy. Such procedures must include:

  • Processes for application, Reservation, and Voucher;
  • Documentation requirements;
  • Record retention requirements;
  • Reporting requirements to the Commissioner of Revenue Services and General Assembly; and
  • Criteria for Qualified Agreement determinations.

ENFORCEMENT

Violations of this Policy or associated procedures may result in appropriate disciplinary measures in accordance with state law, University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, the University of Connecticut Student Code, and Division of Athletics Student Athlete Handbook.

PROCEDURES

Tax Credit Program Procedures

POLICY HISTORY

Policy Approved: June 20, 2025 (Approved by President’s Senior Policy Council)

Academic Program and Accreditation Review, Policy on

April 18, 2025

Title: Academic Program and Accreditation Review, Policy on
Policy Owner: Office of the Provost
Applies to: All Academic Programs at UConn
Campus Applicability: All UConn Campuses
Approval Date: April 17, 2025
Effective Date: April 18, 2025
For More Information, Contact: Vice Provost for Academic Affairs
Contact Information: Provost@uconn.edu, 860-486-4037
Official Website: https://provost.uconn.edu/

BACKGROUND

Ensuring the highest standards of academic excellence is a core commitment of the University of Connecticut. Regular external evaluations provide an objective assessment of our academic programs, fostering continuous improvement and alignment with current educational standards and industry needs. Moreover, the New England Commission of Higher Education (NECHE) Standards for Accreditation require universities to engage in regular academic program reviews to ensure ongoing compliance with accreditation requirements and to uphold the quality and integrity of their educational offerings. The Academic Program Review also provides an opportunity to obtain feedback about the extent to which the academic unit has the resources needed to implement high-quality academic programs.

In addition to institutional accreditation, programmatic accreditation is essential in many fields to validate the required standards of educational programs that allow students to qualify for licensure and certification in professional fields. Generally, programmatic accreditation demonstrates external oversight of quality assurance for programs, reassuring students, employers, and other stakeholders that programs meet specified standards within a discipline or professional field.

PURPOSE

To establish a structured and systematic requirement for academic program review, including the periodic external evaluation of all academic programs at the University of Connecticut, to enhance program quality, promote accountability, and support strategic planning and resource allocation.

To ensure that programmatic accreditation, which can substitute for aspects of the academic program review process in part or in whole, has administrative oversight including formal procedures for seeking, maintaining, and documenting programmatic accreditation as established by the Office of the Provost.

APPLIES TO

This policy applies to all academic programs offered at the University, including undergraduate, graduate, and professional degree programs, including those offered by the Schools of Dental Medicine, Law, and Medicine.

DEFINITIONS

Academic Program: A combination of courses and related activities organized for the achievement of specific learning outcomes as defined by the University. This includes programming at both the undergraduate, graduate, and professional levels and consists of degrees, majors, minors, certificates, and concentrations. Requirements for awarding these programs are defined in the appropriate university catalog.

External Evaluation: A comprehensive review conducted by an external review team to assess the quality, effectiveness, and relevance of the academic program(s) undergoing review.

External Review Team: A group of experts outside of the University selected to conduct the evaluation of academic programs.

Programmatic Accreditation. Programmatic accreditation applies to specific academic disciplines and programs, ensuring they meet established quality standards, engage in continuous improvement, and fulfill reporting requirements. Academic units pursuing this specialized accreditation are responsible for maintaining compliance with disciplinary standards, implementing ongoing improvements, and submitting necessary reports to the recognized accreditor.

Recognized Accreditor: A private nongovernmental organization recognized by the Council for Higher Education Accreditation (CHEA), or the U.S. Department of Education as able to review the quality of higher education institutions, academic units, or programs.

POLICY STATEMENT

All Academic Programs are required to undergo an External Evaluation at least once every eight (8) years.  Academic Programs may seek an extension for no more than two (2) years.  The Office of the Provost will establish the process for engaging academic units in the scheduled Academic Program review process, which will include engaging in a self-study process, producing a self-study report with supplementary information, hosting and facilitating a site visit with the External Review Team to ensure a thorough evaluation, and responding to the evaluation report.

For accredited programs, the accreditation review conducted by a Recognized Accreditor may fulfill some or all the University’s Academic Program External Evaluation requirements. To allow for this substitution, the University must maintain records of the Programmatic Accreditation process, status, and any related evidence or reports. In cases where the accreditation review does not cover aspects of the University’s Academic Program review process, the program may be asked to address those gaps to fully comply with the University’s Academic Program review standards.

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, Rules of Conduct, applicable collective bargaining agreements.

REFERENCES

New England Commission of Higher Education (NECHE) Standards for Accreditation

The following documents are available from the Academic Affairs Governance Document Library.

  • Academic Program Review Handbook
  • Academic Program Review Self-Study Guidelines
  • Guidelines for Disciplinary-specific Accredited Programs

POLICY HISTORY

Policy created: 04/17/2025 (Approved by Senior Policy Council and President)