Sponsored Project Expenditures: Approval and Monitoring, Policy on

December 22, 2022

Title: Sponsored Project Expenditures: Approval and Monitoring, Policy on
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: December 22, 2022
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)

PURPOSE

Sponsored project expenditures must be in accordance with standards set forth by the sponsor.  Federal expenditures must comply with the Office of Management and Budget’s (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200, commonly referred to as Uniform Guidance. Adherence to these cost principles is necessary to prevent cost disallowances, penalties, and/or fines. Expenditures on sponsored projects must conform to individual sponsor requirements.

APPLIES TO

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

DEFINITIONS

Direct Costs: Those costs that can be identified specifically with a particular sponsored project and that can be directly assigned to such activities relatively easily and with a high degree of accuracy.

Facilities and Administrative Costs (F&A): Those costs that are incurred for common or joint objectives that cannot be readily identified with an individual project or program.

Uniform Guidance: Uniform Guidance is a government-wide framework of authoritative rules and regulations for federal awards that is issued by the Office of Management and Budget (OMB). The full title is the “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.”

POLICY STATEMENT

This policy outlines the standards for the allowability of a charge to a grant and the approval and monitoring of expenditures to ensure compliance with federal and state requirements, sponsor terms, and University policy.

Sponsored projects administration is a joint effort between the Principal Investigator (PI) and the University. The PI is responsible and accountable for the management and administration of his/her/their award within the constraints imposed by the sponsor and in accordance with UConn policy. Along with the PI, the University is legally and financially responsible and accountable to the sponsor for the performance and proper use of funds for the award, and relies on the oversight of the PI in fulfilling its stewardship role.

All costs charged to a sponsored project must be in conformance with the award terms and conditions of the sponsored project, the Uniform Guidance in the case of federal sponsored projects, federal and state law, and University policy.

I. Federal Regulations: The Uniform Guidance

Per Uniform Guidance (§200.403), in order for a direct cost to be an allowable cost on a sponsored project, the cost must:

a. Be necessary and reasonable for the performance of the federal award and be allocable under these principles;
b. Conform to any limitations or exclusions set forth in these principles or in the federal award as to types or amount of cost items;
c. Be consistent with policies and procedures that apply uniformly to both federal and non-federal activities of the University;
d. Be accorded consistent treatment. (A cost may not be assigned to a federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the federal award as an indirect cost);
e. Be determined in accordance with generally accepted accounting principles (GAAP);
f. Not be included as a cost or used to meet cost sharing or matching requirements of any other federally-financed program in either the current or a prior period;
g. Be adequately documented.

Subpart E of the Uniform Guidance provides general provisions for selected items of costs. In accordance with this part, the following costs are unallowable:

  1. Meetings, conventions, convocations, or other events related to other activities of the entity (University) (200.421(e)(2));
  2. Alcoholic beverages (200.423);
  3. Alumni/ae activities (200.424);
  4. Bad debts (200.426);
  5. Costs of contributions and donations, including cash property and services, from the non- federal entity to other entities (200.434(a));
  6. Costs of goods or services for personal use (200.445(a));
  7. Costs related to securing patents and copyrights where the costs to prepare disclosures, reports, and searching the art are not required by the federal award or where the federal award does not require conveying title or a royalty-free license to the federal government in the case of filing and prosecuting any foreign patent application (200.448(2));
  8. Costs incurred for interest on borrowed capital, temporary use of the endowment funds, or the use of the non-federal entity’s own funds (200.449(a));
  9. Lobbying to influence activities associated with obtaining grants, contracts, cooperative agreements or loans, and executive lobbying costs (200.450(a) and 200.450 (b));
  10. Losses on other awards or contracts (200.451);
  11. Membership costs in any country club or social or dining club or organization and membership costs in organizations whose primary purpose is lobbying (200.454(d) and 200.454(e));
  12. Selected relocation costs such as loss on the sale of a former home and continuing mortgage principal and interest payments on a home being sold (200.464(d));
  13. Student activity costs (200.469);
  14. Travel costs for dependents when the duration is less than six months (200.475(c)(2)) (University policy does not allow reimbursement for dependent travel costs);
  15. In addition to the list above, the federal sponsor may not allow other costs in accordance with sponsor policy and the terms of the award.

II. Direct Cost Expenditure

Principle Investigators have the responsibility to verify that charges on his/her/their awards are allowable. Investigators may receive assistance on financial tasks from the Fiscal Officer (FO) at Storrs and regional campuses, or the Department Administrator (DA) at UConn Health, and Sponsored Program Services (SPS). However, the PI retains the responsibility for the review and approval of charges on his/her/their sponsored project(s). PIs review and approval of expenditures is to assure that:

  1. for federal awards, direct costs meet the standards of an allowable cost per the Uniform Guidance (see “I.” above);
  2. direct costs meet the specific terms of the project and are reasonable, allocable, and allowable;
  3. expenditures occur within the project period;
  4. expenditures are appropriately documented;
  5. expenditures meet the limitations of the sponsor-approved budget.

III. Expenditure Review

Transaction review and budget monitoring are essential components of an integrated system of control activities. Along with preventative controls, after the fact financial reviews provide reasonable assurance, but not absolute assurance, that financial activity is accurate, valid, and complete.

  1. The PI will make a timely review of project expenditures and remaining balances;
  2. The PI and FO/DA will review reports of expenditures charged to each sponsored project to ensure allowability and to take prompt corrective action when costs are determined to be unallowable. The PI and FO/DA will monitor the budget and submit rebudget requests when necessary which are approved by SPS.

IV. Prior Approval for Certain Expenditures

Sponsor prior approval is often required for certain direct cost expenditures. The Uniform Guidance, sponsor grant policy, and the award terms and conditions include these requirements. For non-federal sponsors, if the award does not include specific requirements, Principal Investigators should follow the guidance for federal grants and cooperative agreements unless otherwise approved by the sponsor and the University. For federally funded awards, and in accordance with the Uniform Guidance (200.407), prior written approval from the sponsor is required before the expense can be incurred. Common examples of these types of costs include the addition of a subaward or purchase of equipment that was not included in the proposal and administrative expenses.

V. Roles and Responsibilities

Principal Investigator (PI):
Except as noted, these steps may be performed by another investigator on the project or technical designee.

  1. Apply the factors of allowability (in accordance with the Uniform Guidance for federal awards) regarding a cost prior to requesting, incurring, or processing an expenditure. Provide and/or maintain documentation of the appropriateness of the expense in conjunction with the project.
  2. Provide the FO/DA documentation or maintain such documentation of the expenses of the project.
  3. Authorize requests for expenditures including goods, services agreements, subawards, and personnel expenses;
  4. Ensure expenditures occur within the project period;
  5. Monitor and approve payments for consultant services and subawards (PI approval);
  6. Monitor project expenditures to confirm they are allowable, allocable, and reasonable and promptly request the FO/DA make corrections upon identifying a charge that needs to be removed from the project;
  7. Approve all cost transfers;
  8. Monitor budgets and submit, or have the FO/DA submit, budget revisions to Sponsored Program Services;
  9. Obtain prior approval through SPS when required by the sponsor’s terms and conditions before funds are committed or expended on the sponsored project (PI approval).

Fiscal Officer (FO)/Department Administrator (DA):

  1. Apply the factors of allowability (in accordance with Uniform Guidance for federal awards) prior to approving an expenditure;
  2. Ensure PI or his/her/their designee provides adequate justification/documentation of the expense on the project;
  3. Review reports of expenditures charged to each sponsored project to ensure expenditures are allowable and review any reconciling items or budget overruns with PI and aid in the submission of cost transfers and/or rebudget requests;
  4. Alert the PI and/or SPS to issues and concerns.

Sponsored Program Services (SPS):

  1. Apply the factors of allowability (in accordance with Uniform Guidance for federal awards) prior to approving an expenditure;
  2. Review and approve purchase requisitions as required in the University’s financial system and subawards;
  3. Review and approve cost transfer requests;
  4. Process non-payroll and certain payroll cost transfers in the University’s financial system;
  5. Facilitate, review, and approve sponsor prior approval requests;
  6. Review and approve rebudget requests;
  7. Process budget revisions in the University’s financial system;
  8. Monitor grant expenditures and review all expenditures prior to financial closeout and ensure all unallowable expenses are removed.

Accounts Payable/Payroll/Procurement

  1. Ensure expenditures are in compliance with University requirements.

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

UConn Storrs and Regional Campuses:

Direct and Indirect Costs of Federal Grants and Contracts, Policy CADS1
General Cost Principles
Federal Costing Principles Training Slides
Cost Transfer Policy

UConn Health:

Budget Preparation Guidelines and General Cost Principles
Federal Costing Principles Training Slides
Cost Transfer Policy

POLICY HISTORY

Policy approval date: December 12, 2022 (Approved by Senior Policy Council)

This policy combines previous policies at Storrs/regional campuses, and UConn Health to create one common policy for Storrs/regional campuses, and UConn Health:
Storrs/Regional Campuses Policy, “Sponsored Project Expenditures: Approval and Monitoring,” created on 2/26/18
UConn Health Policy 2002-39, “Direct Costs Expenditures,” created on 2/25/2002, and revised on 11/8/2016

Principal Investigator Eligibility on Sponsored Projects, Policy on

Title: Principal Investigator Eligibility on Sponsored Projects, Policy on
Policy Owner: Office of the Vice President for Research, Sponsored Program Services
Applies to: All faculty, staff, and students
Campus Applicability: All Campuses, including UConn Health
Effective Date: December 22, 2022
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)

PURPOSE

This Policy sets forth the eligibility requirements for serving as a Principal Investigator (PI) or Co- Principal Investigator (Co-PI) at the University. This Policy also describes the processes for requesting and approving exceptions to the PI/Co-PI eligibility requirements.

APPLIES TO

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

DEFINITIONS

Principal Investigator (PI): This title identifies the individual, identified and determined by the grantee who is responsible for the conduct of the sponsored program project. This responsibility includes the intellectual conduct of the project, fiscal accountability, administrative aspects, and the project’s adherence to relevant policies and regulations. A project may have multiple individuals serving as PIs (multi- PIs) who share the authority and responsibility for leading and directing the project, intellectually and logistically. Each PI is responsible and accountable for the proper conduct of the project.

Co-Principal Investigator (Co-PI): This designation refers to individuals who share the responsibility for the project with the Principal Investigator and therefore requires the same qualifications.

Project Director/Co-Project Director: Although not as commonly used by sponsors, this title is a synonym for Principal Investigator and Co-Principal Investigator respectively.

POLICY STATEMENT

All externally funded projects conducted at the University are expected to be consistent with the teaching, research, and service missions of the University. All projects are therefore carried out within departments, centers or institutes, or other administrative units under the direction of a faculty member or comparable professional employee.

By defining Principal Investigator status as a limited set of designated individuals and/or job categories, and by procuring appropriate dean and department head approval, the University is assured that the proposed research is consistent with its missions and that the necessary space, equipment, facilities, and qualified personnel are available to conduct the proposed project. In all cases, the individual designated  as Principal Investigator is judged to be qualified to conduct an independent research or educational project. In addition, eligible faculty must meet all other University or sponsor requirements to serve as a PI.

Faculty members eligible to serve as Principal Investigators include members of the emeritus faculty and those faculty members who hold the following titles or rank*:

• Professor*
• Associate Professor*
• Assistant Professor*
• Research Scientist
• Research Scholar
• Research Instructor

*These ranks include academic faculty, research faculty, clinical faculty, and other full-time faculty, with the exception of visiting faculty or other short-term appointments.

Professional staff normally eligible to serve as Principal Investigator:
Professional staff members normally eligible to serve as Principal Investigators include staff who hold titles typically associated with independent activity, whose appointment is subject to a rigorous review of credentials, and who have supervisor approval (i.e., signature on the proposal routing sheet), including:

• Dean
• Associate Dean
• Assistant Dean Director
• Associate Director
• Assistant Director
• Curator
• Educational Program Managers
• Program Director

Categories of employment normally considered ineligible to serve as Principal Investigator:

• Instructor
• Assistant Instructor
• Lecturer
• Post-doctoral Appointees, other than those receiving a fellowship
• Research Associates
• Research Assistants and fellows
• Visiting and other short-term appointees
• Students, other than those receiving a fellowship

Exceptions:
In special cases, exceptions may be made. These special cases require the approval of the appropriate Faculty Sponsor, Department Chair, Dean and Sponsored Program Services prior to proposal submission. In the case of a denial by Sponsored Program Services, appeals may be directed to the Associate Vice President for Research, Sponsored Program Services.

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

Storrs and Regional Campuses:
Request for Approval to Serve as Principal Investigator Form

UConn Health:
Request to Serve as Principal Investigator Form

POLICY HISTORY

Policy approval date: December 12, 2022

This is a new policy combining two previous and separate policies at Storrs/regional campuses, and UConn Health and establishes one shared policy for Storrs/regional campuses, and UConn Health:
Storrs/Regional Campuses Policy, “Principal Investigator Eligibility,” created on 6/5/2009, and revised on 6/22/2015
UConn Health Policy 2008-05, “Senior/key personnel & Committed Effort,” created on 12/16/2008, and revised on 10/8/2013

Negotiation and Acceptance of Sponsored Program Awards, Policy on

Title: Negotiation and Acceptance of Sponsored Program Awards, Policy on
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: December 22, 2022
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)

PURPOSE

This policy documents the authority for the review, negotiation, and acceptance of all grants and contracts for sponsored programs to ensure compliance with University policies, mission, sponsor requirements, and state and federal regulations.

APPLIES TO

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

DEFINITIONS

Award: Formal document from a sponsor/funding agency obligating funds to the University for a specific project.

Contract: A written agreement that represents a legal obligation for both the sponsor and the University. Each contract contains a scope of work and/or deliverables to be performed in exchange for consideration, typically in the form of compensation.

Grant: Type of financial assistance awarded to an organization for the conduct of research, scholarship, or other programs, as specified in an approved proposal.

POLICY STATEMENT

The review, negotiation, and acceptance of the terms and conditions of all sponsored program grant awards and contracts are the responsibility of Sponsored Program Services (SPS) in collaboration with the Principal Investigator(s) of the project.

ROLES AND RESPONSIBILITY

Principal Investigator (PI)/Department Administrator:

1. Responsible for the scientific/academic content and budget of the project, and must ensure that the agreement reflects PI’s understanding of what is proposed to be accomplished over a specified time, and that there are sufficient funds to cover the project through the period.
2. Ensure that the schedule for and the nature of any technical or progress reports or other deliverables are acceptable to the sponsor.
3. Advise SPS of any issues that the PI has with any terms of the award or contract.
4. Ensure that work does not begin on the project until the award is accepted or contract is fully executed, or unless special approval has been received to set up a pre-award account for the project.
5. May not accept or execute sponsored program awards and/or contracts on behalf of the University.

Sponsored Program Services:

1. In collaboration with the Principal Investigator(s), ensure that the terms and conditions of the award and/or contract are in compliance with University policies and mission.
2. Consult with, refer to, or seek guidance from appropriate internal and external entities and individuals prior to accepting an award or executing a contract.
3. Work with relevant University units to ensure compliance with relevant policies and regulations, including but not limited to human subjects, human subjects’ data, vertebrate animals, export controls, and financial conflicts of interest.
4. Authorized Official(s) to accept sponsored project awards and execute sponsored project related contracts on behalf of the University.

Research Compliance:

1. Provide advice and guidance, as needed, on areas such as human subjects, human subjects’ data, vertebrate animals, export controls, and financial conflicts of interest.

Technology Commercialization Services:

1. Provide advice and guidance, as needed, on areas such as complex intellectual property terms and royalty and licensing arrangements.

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

Storrs and Regional Campuses:

Guidance – Sponsored Program Services: Awards
Guidance – Sponsored Research Agreements

UConn Health:

Guidance – Sponsored Program Services: Awards
Guidance – Sponsored Research Agreements
Guidance – When to Use the IPAS form

POLICY HISTORY

Policy approval date: December 12, 2022 (Approved by Senior Policy Council)

This is a new policy at Storrs/regional campuses to better document established practices and procedures. The policy combines two previous policies at UConn Health and establishes one shared policy for Storrs/regional campuses, and UConn Health:
UConn Health Policy 2002-33, “Acceptance of Awards,” created on 04/10/02
UConn Health Policy 2002-32, “Negotiation of Awards,” created on 04/10/02

New and Decommissioned Policies in December 2022

December 12, 2022

The Senior Policy Council approved the following new policies (consolidation of the previous existing policies):

Negotiation and Acceptance of Sponsored Program Awards

Principal Investigator Eligibility on Sponsored Projects

Sponsored Project Expenditures

Effort Reporting and Certification

Subrecipient Monitoring

 

Minors Policy (Decommissioned): The (Academic) Minors Policy has been approved to be decommissioned by the Senior Policy Council (SPC).

New Policy in September 2022

September 22, 2022

Academic Affairs Policies and Protocols Policy (New): The purpose of this new policy is to establish clear and concise standards for the development, approval, decommissioning, and revision of Academic Affairs policies and protocols. It will apply to the Storrs, Regional and UConn Health campuses, and set the standard for all Academic Affairs units (i.e., school/college, campus, department, division, and other units therein). This policy aims to ensure that all formatting and presentation of policies is consistent, a complete set of Academic Affairs policies exists, and practices used in all Academic Affairs units and UConn campuses are transparent.

Academic Affairs Policies and Protocols, Policy on

June 13, 2022

Title: Academic Affairs Policies and Protocols, Policy On
Policy Owner: Office of the Provost
Applies to: All units that report to the Provost Office
Campus Applicability: UConn (Storrs & Regional Campuses) and UConn Health
Effective Date: June 13, 2022
For More Information, Contact Office of the Provost
Contact Information: (860) 486-4037, provost@uconn.edu
Official Website:  http://provost.uconn.edu/

BACKGROUND

The policy bolsters the University Policy on Policies, by setting standards for Academic Affairs units (i.e., school/college, campus, department, division, and other units therein) to develop policies. The aim is to ensure that:

  • each Academic Affairs unit has an established and documented process for developing, approving, revising, promulgating, decommissioning, and archiving policies.
  • the format and presentation of policies is consistent;
  • conflicts between policies are minimized;
  • all policies required by the UConn-AAUP Collective Bargaining Agreement or the Provost’s Office are up to date and represent best practices;
  • a complete set of Academic Affairs policies exists; is reviewed regularly, and is accessible to the UConn, unit-specific, or campus-specific community;
  • policies are archived; and
  • practices used in all Academic Affairs units and UConn campuses are transparent.

PURPOSE

To establish standards for the development, approval, revision, decommissioning of Academic Affairs policies and protocols administered by units (e.g., schools/colleges, regional campuses, department, divisions, centers, and institutes) that report to the Provost Office.

DEFINITIONS

Policy Owner: The unit, unit head (e.g., Dean, Campus Director), and/or designee (e.g., Associate Dean, Department Head, director) responsible for authoring, implementing, maintaining and monitoring a policy. This may include more than one units. However, generally, it should not exceed two.

Academic Affairs Unit Policy: An Academic Affairs unit policy guides the decisions and actions of a unit that reports to the Provost Office. It may supplement a University Policy. It outlines requirements and restrictions and establish standards, rights, and responsibilities that generally apply to the members under its specific charge (e.g., school/college, campus, department, or division/unit). These policies meet the following criteria:

  • The unit head has sanctioned it;
  • It has broad application within the unit.
  • It is a governing principle for both established and future activities of the unit;
  • It references, adheres to, and does not conflict with policies established by the University or an upper-administrative level; and
  • It is published in an official university venue that is accessible to the members of the unit as well as members of upper-level administration.

Unit policies are developed in accordance with the University Policy Template.

Policy/Protocol Promulgation: To publish or officially announce the adoption of a particular policy or protocol to the community. A policy is promulgated by publication to the official venue for posting approved policies.

Protocol: Establishes standards methods for implementing approved policies.  If a policy is “what” the institution or unit does, its protocols are “how” it carries out a policy’s requirements.  Three types of protocols are defined below.

  • Guideline: Recommended guidance or additional information used to support policies and procedures, industry best practice, or intended to educate the workforce on how to achieve a desired outcome.
  • Process: A high-level overview that provides a road map for how a task will be accomplished.
  • Procedures: Operational processes established for the implementation of policies. If a policy is “what” the institution does, its procedures are “how” it carries out the requirements of a policy. Non-compliance with, or violation of, procedures may result in disciplinary action. Procedures
    • outline required actions by objective and/or job function;
    • state clearly and succinctly the step-by-step instructions that must be followed to implement policy effectively;
    • specify the structure to enforce the policy.

Revision, Editorial: Includes modifications related to spelling, grammar, format, and updates to hyperlinks or URLs, contact information, references, titles of individuals and organizations.

Revision, Non-substantive: Includes modifications intended to enhance clarity without changing the intent of the policy, such as adding or modifying definitions, rearranging or re-wording sentences without changing their meaning or the policy’s requirements for compliance.

Revision, Substantive: Includes significant modifications to the nature and/or scope of the policy that affect its requirements, principles, or intent.

Stakeholders: Member of the unit with the expertise in the subject matter of the policy, or whose operations will be significantly affected by the policy.

POLICY STATEMENT

All Academic Affairs units that report to the Provost Office shall establish a process to develop, maintain record of, revise, decommission, and archive unit-specific policies and protocols to guide the conduct of the unit and to promulgate policies to appropriate stakeholders. All policies must be in writing, utilizing the University’s Policy Template, and must be posted on the official venue for posting approved policies. All approved unit-specific policies are in effect until they are officially revised or decommissioned, and archived.

In rare circumstances, the Units may determine that it is appropriate to make exceptions to a policy on a case-by-case basis, in which event the Unit is not required to make the same exception again. However, records of exceptions, including their justification, must be maintained.

All concerns or questions regarding consistency of unit-specific policies with university-wide academic policies or conflicts between existing policies should be directed to the Office of University Compliance for clarification or resolution. Until such time that identified conflicts are resolved, the upper-level policy will govern.

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/FORMS

Guideline and Provost’s Office Procedures for the Policy on Academic Affairs Policies and Protocols

REFERENCES

University Policy on Policies

Policy Template

POLICY HISTORY

Policy created:  June 13, 2022 [Approved by President’s Senior Policy Council]

Student Athlete Name, Image, Likeness, Policy On

May 6, 2022

Title: Student-Athlete Name, Image, and Likeness, Policy On
Policy Owner: Athletics
Applies to: All Student-Athletes and University Employees
Campus Applicability: All UConn campuses, except UConn Health
Approval Date: March 18, 2025
Effective Date: March 19, 2025
For More Information, Contact Director of Athletics
Contact Information: (860) 486-2725
Official Website: https://uconnhuskies.com/sports/2021/7/14/uconn-nil-information

PURPOSE

To establish a policy pursuant to which University of Connecticut (“University”) Student-Athletes are permitted by the University to (1) earn Compensation through an Endorsement Contract, Revenue Sharing Agreements, or employment in an activity unrelated to an Intercollegiate Athletic Program; and (2) obtain legal or professional representation of an attorney or Sports Agent through a written agreement, provided that in each case, the Student-Athlete complies with the terms and conditions of this policy and applicable law.

DEFINITIONS

Athletics Booster: a person who directly contributes to a University athletic program.

Compensation: the receipt, whether directly or indirectly, of any cryptocurrency, money, goods, services, other items of value, in kind contributions and any other form of payment or remuneration.

Endorsement Contract: a written agreement under which a Student-Athlete is employed or receives Compensation for the use by another party of such Student-Athlete's person, name, image or likeness in the promotion of any product, service or event.

Intercollegiate Athletic Program: a program at the University for sports played at the collegiate level for which eligibility requirements for participation by a Student-Athlete are established by a national association for the promotion or regulation of college athletics.

NCAA: the National Collegiate Athletic Association or its successor.

Official Team Activities: all games, practices, exhibitions, scrimmages, team appearances, team photograph sessions, sports camps sponsored by the University and other team-organized activities, including, but not limited to, photograph sessions, news media interviews, and other related activities as specified by the University.

Prohibited Endorsements: receipt of Compensation by, or employment of, a Student-Athlete for use of the Student-Athlete's person, name, image or likeness (“NIL”) in association with any product, category of companies, brands, or types of Endorsement Contracts that are: (1) prohibited by law; (2) prohibited by this policy; or (3) prohibited under the applicable University procedures adopted in accordance with this policy.

Revenue Sharing Agreement: an agreement between the University or an entity acting on the University’s behalf, and a student athlete through which a student athlete shares a portion of the University’s revenue as Compensation.

Sports Agent: a duly licensed person who negotiates or solicits a contract on behalf of a Student-Athlete in accordance with the Sports Agent Responsibility and Trust Act, 15 USC 7801, et seq., as amended from time to time.

Student-Athlete: a student who attends or has agreed to attend the University and participates or has agreed to participate in a University Intercollegiate Athletic Program.

University Marks: the name, logo, trademarks, mascot, unique colors, copyrights and other intellectual property or defining insignia of the University.

POLICY STATEMENT

The University shall permit its Student-Athletes to (1) obtain legal or professional representation of an attorney or Sports Agent through a written agreement, provided that the Student-Athlete complies with this policy and applicable law; (2) earn Compensation through employment in an activity unrelated to an Intercollegiate Athletic Program; (3) earn Compensation through an Endorsement Contract with a third party; (4) earn Compensation through an Endorsement Contract with the University for the use of  the Student-Athlete's person, name, image or likeness in the promotion of any product, service or event; and (5) earn Compensation through a Revenue Sharing Agreement with the University.

1. Agreements for Representation by a Sports Agent or an Attorney

  1. A Student-Athlete may only enter into an agreement for representation with a Sports Agent if the Student-Athlete submits a copy of the agreement to the University.
  2. A Student-Athlete may only enter into an agreement for representation with an attorney if the Student-Athlete submits a copy of the agreement to the University

2. Agreements for Employment Activities and Endorsement Contracts with Third Parties

    1. A Student-Athlete may receive Compensation for employment in an activity unrelated to any Intercollegiate Athletic Program, provided the Student-Athlete signs a written agreement for the employment and submits a copy to the University before performing any employment activities or services.
    2. A Student-Athlete may only enter into an Endorsement Contract with a third party if:
      1. the Student-Athlete submits a copy of the contract to the University prior to the Student-Athlete performing any activity or service under the contract;
      2. the contract, or any portion thereof, does not conflict with the provisions of any agreement to which the University is a party. If a potential conflict is identified, the University shall disclose to the Student-Athlete or the Student-Athlete's attorney or Sports Agent the provisions of the University agreement that are in conflict; and
      3. the Student-Athlete is not required to participate or engage in any activity prohibited by Section IV of this policy.

    3. Endorsement Contracts and Revenue Sharing Agreements with the University

    A Student-Athlete may only enter a Revenue Sharing Agreement and/or Endorsement Contract with the University if:

    1. the Endorsement Contract is limited to the use of the Student-Athlete's person, name, image or likeness in the promotion of any product, service or event;
    2. the Student-Athlete is an independent contractor; and
    3. the Student-Athlete is not required to participate or engage in any activity prohibited by Section IV of this policy.

    4. Prohibitions

    1. No state funds appropriated to the University may be used to compensate a student athlete for an Endorsement Contract or a Revenue Sharing Agreement.
    2. Use of Marks. Student-Athletes are prohibited from using or consenting to the use of any University Marks when performing any services or activity associated with an Endorsement Contract or employment activity without prior written permission from the University or its authorized designee.
    3. University Employees. University employees are prohibited, in their individual capacity, from entering into an Endorsement Contract or a Revenue Sharing Agreement with any Student-Athlete or otherwise providing Compensation to a Student-Athlete in connection with a Student-Athlete’s participation in an Intercollegiate Athletic Program.
    4.  Student-Athletes.
      1. Student-Athletes are prohibited from performing any service or activity associated with an Endorsement Contract or employment activity that interferes with any official team activities or academic obligations.
      2. Student-Athletes are prohibited from receiving Compensation from entering an Endorsement Contract with, and/or otherwise engaging in an employment activity with companies, brands, products, conduct, and/or entertainment prohibited under University procedures adopted in accordance with this policy.

              PROCEDURES

              The President or the President’s designee may adopt procedures concerning the implementation of this policy.

              ENFORCEMENT
              Violations of this Policy or associated procedures may result in appropriate disciplinary measures in accordance with state law, University Laws and By-Laws, and Division of Athletics Student Athlete Handbook.

              POLICY HISTORY

              Policy created effective June 30, 2021 [Approved by the Board of Trustees]

              Revisions:
              May 2, 2022
              March 18, 2025 [Approved by the President’s Senior Policy Council]

              University Policy on Policies

              April 7, 2022

              PURPOSE

              To establish standards for the development, approval, revision, and decommissioning of University Policies for the Storrs and Regional Campuses, and institution-wide policies that affect all campuses, including UConn Health. This policy aims to ensure that University policies are well defined, understandable, consistent with the University’s mission, values, and goals, and sanctioned by the University’s administrative authorities through standardized processes.

              DEFINITIONS

              Guideline: Recommended guidance or additional information used to support policies and procedures, industry best practice, or intended to educate the workforce on how to achieve a desired outcome. Allows end-user discretion in interpretation, implementation, or use. Non-compliance with, or violation of, guidelines does not create the same level of risk.

              Policy Owner: The unit, senior institutional official and/or designee responsible for authoring, implementing, maintaining, and monitoring a policy.

              University Senior Policy Council: The University Senior Policy Council is a standing committee whose role is to review and approve new and revised University policies.  The Senior Policy Council is comprised of the University President; Executive Secretary to the Board of Trustees; Chief of Staff; General Counsel; Chief Compliance Officer, Chief Human Resources Officer, Provost, and the Vice President for Finance and Chief Financial Officer.  Others may be invited, as necessary.

              Procedures: Operational processes established for the implementation of policies. If a policy is “what” the institution does, its procedures are “how” it carries out the requirements of a policy. Non-compliance with, or violation of, procedures may result in disciplinary action.
              Procedures

              • outline required actions by objective and/or job function;
              • state clearly and succinctly the step-by-step instructions that must be followed to implement policy effectively;
              • specify the structure to enforce the policy;
              • University Policy procedures shall not be revised without consultation with the Office of University Compliance.

              Revision, Editorial: Includes modifications related to spelling, grammar, format, and updates to hyperlinks or URLs, contact information, references, titles of individuals and organizations.

              Revision, Non-substantive: Includes modifications intended to enhance clarity without changing the intent of the policy, such as adding or modifying definitions, rearranging or re-wording sentences without changing their meaning or the policy’s requirements for compliance.

              Revision, Substantive: Includes significant modifications to the nature and/or scope of the policy that affect its requirements, principles, or intent.

              Senior Institutional Official (SIO): The appropriate University officer (Vice President, Vice Provost, or similar) who has authority and responsibility for the area or activity to which a policy may apply.

              Stakeholder: University members with expertise in the subject matter of the policy, or whose operations will be significantly affected by the policy.

              University Policy: An official statement expressing the position of the University on an issue of university-wide importance. A university policy

              • is a governing principle that mandates or constrains actions, establishes rights or obligations, or guides the decisions and actions of the University;
              • has broad application;
              • exists to achieve compliance with applicable laws, regulations, and organizational requirements; to promote operational efficiencies; to enhance the University’s mission; to reduce institutional risk; and/or to promote ethical standards, integrity and accountability;
              • is approved by the administrative authority of the University and/or the Board of Trustees

              Policies that do not fit the criteria of a University Policy, such as individual unit policies, should be vetted through the appropriate Dean or Director for approval to ensure consistent application and to avoid conflict with any University or unit policies. Unit policies, procedures and guidelines shall not subvert, supersede, or contradict University Policies. Units should use a similar policy review process as outlined in this document. Please contact the Office of University Compliance or refer to the Policy website for assistance.

              POLICY STATEMENT

              All University Policies shall be developed, approved, revised, and decommissioned in accordance with the procedures outlined in this Policy. In rare circumstances, exceptions to this process may be approved by the President in consultation with the University Senior Policy Council and notification to the Board of Trustees as may be warranted.

              Individual units (e.g., colleges, schools, centers, institutes, departments) may create, communicate, maintain, and enforce policies that are applicable to their respective authority, as long as these are not in conflict with official University Policies.

              PROCEDURES

              I. New University Policy
              II. Revising a University Policy
              III. Decommissioning a University Policy
              IV. Archiving University Policy
              V. Expedited (Emergency) Policy Approvals

              I. New University Policy

              1. Determine Need

              1. University Policies should only be created when they define University values, institutional objectives or mandates; address federal or state law, regulations, or rules; or manage potential risk or liability.
              2. Any individual or unit may identify the need for a new University Policy. However, a Senior Institutional Official, in consultation with the Office of University Compliance, must confirm the need for the policy considering
                • whether the proposed policy meets the criteria of a University Policy as defined;
                • if an alternative such as workforce guidance or procedures is the most effective and efficient approach;
                • if existing University policy addresses or resolves the identified need;
                • implications of the policy including risks and costs (i.e., will adoption of the proposed policy require new resources or reassignment of existing resources?)

              2. Development

              1. If a proposed policy involves matters within the purview of more than one senior institutional official, they will ensure consultation and coordination among appropriate leadership.
              2. The Senior Institutional Official may assign the development and administration of the policy to a responsible office or individual (Policy Owner).
              3. The Policy Owner is responsible for developing a draft policy in consultation with key stakeholders and University governance groups (e.g., University Senate, Deans Council). It is advisable that the Policy Owner convene a stakeholder policy development group to provide initial vetting of the proposed policy.
              4. University policy
                • must follow the Policy Template [link];
                • should be written so that it is clear and concise with sufficient information on the subject without being excessive in length or complexity;

              3. Engage the Office of University Compliance

              1. Early in the development stages, the individuals or groups developing the policy must notify the Office of University Compliance.
              2. University Compliance is responsible for
                • stewardship of the policy development process to ensure consistency with existing policies, language, clarity, format and appropriate vetting and approval;
                • engaging the Office of the General Counsel as appropriate;
                • reviewing stakeholder and partner input;

              4. Approval

              1. Although the development or administration of a policy may be delegated, the SIO is responsible for ensuring all necessary approvals are obtained.
              2. Once the SIO is satisfied with the final policy draft, it must be forwarded along with a list of stakeholder reviewers to University Compliance at policy@uconn.edu. University Compliance may consult with the Office of General Counsel for final review.
              3. For policies that apply to the Storrs, Regional and UConn Health campuses, University Compliance will coordinate review and approvals with the appropriate UConn Health policy committees before advancing the policy to the Office of the President.
              4. University Compliance will work with the Office of the President and the SIO to present the draft policy to the University Senior Policy Council for their review and recommendation to the President. There may be occasions when a University Policy requires review and approval by the Board of Trustees prior to adoption.
              5. The President, in consultation with the Senior Policy Council, will make the final determination regarding when a University Policy shall be presented to the Board of Trustees for approval. If so, the proposed policy will typically be assigned to one or more standing Board committees to review and approve before the proposed policy goes to the full Board for final approval.
                University Policies that advance to the Board for approval are often those that relate to:
                • University governance and describe the composition, powers, and duties of the Board of Trustees, the President, or University Senate;
                • University By-Laws (e.g., academic appointment and tenure; grievances; leaves of absence; naming of facilities; intellectual property; the establishment of new regional campuses,
                  schools or colleges; expressions of dissent; and student residency);
                • Code of Conduct;
                • high-level university financial operations such as investments and the establishment of, or significant changes in existing, major University fiscal policies (e.g., capital expenditures).

              5. Publication & Notification

              1. Once the University Policy has been approved, the SIO will collaborate with University Compliance to ensure the policy is posted to policy.uconn.edu (and health.uconn.edu/policies where
                applicable.
              2. The SIO shall oversee the communication, implementation, training, administration, and maintenance of the University Policies within their purview. The SIO must publicize and distribute the policy to the University community members to whom it applies and to offices with implementation requirements.
              3. Policies published to the University’s Policy site are the official and current versions.
              4. Members of the University community are responsible for familiarizing themselves and complying with University Policies.
              5. All new University Policies not requiring Board approval shall be shared with the Board of Trustees at the next regularly scheduled meeting as an informational item.

               

              II. Revising a University Policy

              Regularly reviewing policies and procedures ensures that the University’s operations and administration are

              • in compliance with new laws and regulations;
              • current with new systems or technology;
              • consistent with best practices.

              1. Review

              1. Policies must be reviewed at least once every three (3) years, or sooner if legal or regulatory requirements or changes in operational processes deem necessary. The senior institutional official,
                or designee, must ensure the periodic review and revision of policies related to their areas of responsibility.
              2. University Compliance monitors policies for compliance with the required review schedule.
              3. The senior institutional official must notify University Compliance at policy@uconn.edu
                • of necessary changes by providing a strikethrough or “redline” copy of the policy with proposed revisions;

                  OR

                • if review was conducted and there are no necessary changes.
              4. The date of review, even in the absence of revision, shall be noted in the Policy History of the document.

                      2. Revision Approvals

                      University Compliance, in conjunction with the senior institutional official, will determine if the proposed revisions are editorial, non-substantive or substantive.

                      1. Editorial revisions will be completed by University Compliance.
                      2. Non-substantive revisions will be completed by University Compliance after notifying the University Senior Policy Council.
                      3. Substantive revisions must follow the same review and approval process as a new policy.

                       

                        III. Decommissioning a University Policy

                        When a policy is no longer needed or is more effectively combined with another policy, the responsible office will submit a formal request to the senior institutional official responsible for the policy. The senior institutional official shall confer with applicable University governance groups and subject matter experts as appropriate to ensure overall impact is considered.  The senior institutional official will collaborate with University Compliance to seek formal decommissioning approvals. If there is disagreement as to whether a policy should be decommissioned, the University Senior Policy Council will decide.

                        University Compliance will remove decommissioned policies from the policy.uconn.edu website and inform the Senior Policy Council quarterly of decommissioned policies.

                         

                        IV. Archiving a University Policy

                        University Compliance will work with University Archives to properly maintain the record. Policy Owners are strongly encouraged to retain policy records.

                         

                        V. Expedited (Emergency) Policy Approvals

                        The expedited policy approval process is reserved for policies that the President or the Senior Policy Council deem crucial for the health and safety of the University community, the continuity of University operations, to address legal requirements or significant institutional risk and, therefore, must be processed in a shorter time than possible through the established approval process.

                        In such cases,

                        • the President or the Board of Trustees identifies an emergency policy need and assigns a senior institutional official;
                        • the stakeholder review process may be bypassed, but the draft policy must be reviewed by the Senior Policy Council;
                        • the Senior Policy Council shall consider any immediate and significant impact on operations;
                        • emergency policies that apply to UConn Health shall be provided to the appropriate policy committees for expedited review and approval.

                        Unless a duration is specified in the Expedited Policy, all Expedited Policies will be reviewed in one (1) year by the Senior Policy Council to determine whether the policy should be extended, made permanent, or decommissioned.

                        POLICY HISTORY

                        Approved on March 30, 2022, by the Board of Trustees

                        Code Compliance for University Events and Projects, Policy on

                        Title:  Code Compliance for University Events and Projects, Policy on
                        Policy Owner: Division of University Safety
                        Applies to: The University workforce, students, others
                        Campus Applicability: All Campuses 
                        Effective Date: April 6, 2022
                        For More Information, Contact Fire Marshal and Building Inspector’s Office
                        Contact Information: buildinginspector@uconn.edu
                        Official Website: https://firemarshal.universitysafety.uconn.edu/ 

                        BACKGROUND

                        The Fire Marshal and Building Inspector’s Office (FMBIO) provides regular inspection, incident investigation, construction and/or event permitting, as well as consultation on matters relevant to design, construction, renovation, maintenance, and use of structures, systems, and related assets. CGS 29-252a (h) and State Building Code (SBC) 105.2.4 exempt a state agency from being required to obtain a building permit from the local building official, however, the University of Connecticut and the State Building Inspector have determined that any University of Connecticut work which is subject to building permit by the SBC shall be permitted through the Fire Marshal and Building Inspector’s Office.

                        PURPOSE

                        To provide a safe environment through the enforcement of building and fire safety codes in compliance with the University’s Memoranda of Understanding (MOU) with the Department of Administrative Services (DAS), Connecticut General Statutes and State Building Code.

                        DEFINITIONS

                        Workforce: Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for the University, is under the direct control of the University, whether or not they are paid by the University.

                        POLICY STATEMENT

                        Members of the workforce, including contractors or subcontractors, who intend to perform any of the following must contact the FMBIO to determine if code compliance is applicable and if a permit is required:

                        • construct, enlarge, alter, repair, move, demolish, or change the occupancy of a building or structure;
                        • perform any work related to electrical, gas, mechanical or plumbing systems;
                        • organize an indoor or outdoor event, activity, or assembly attended by fifty (50) or more people in a space outside the scope of its intended use[1], or that involves tents, pyrotechnics, amusement rides, open flames, cooking and/or heating food, or alcohol.

                        In addition to the above-listed instances in which FMBIO review is required, it is recommended that the University and its agents contact the building inspector regarding all work to buildings and structures before that work commences.

                        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.

                        PROCEDURES

                        Contact the FMBIO prior to initiating work or organizing events, activities or assemblies attended by fifty (50) or more people.

                        The building inspector may make a determination as to whether proposed work is subject to a building permit based on submission of a brief description of the work. If a review of the State Building Code determines that a building permit is not required for the proposed work, a letter indicating such will be returned with the submitted documents.

                        The Fire Marshal may make a determination regarding whether indoor or outdoor events, activities, or assemblies of 50 or more people require a permit based on submission of a brief description of the activity.

                        REFERENCES

                        CGS Chapter 541 Part II

                        CGS 29-252a

                        POLICY HISTORY

                        Policy created: April 06, 2022 [Approved by President’s Senior Policy Council

                        Revisions:

                        [1] Existing spaces are permitted and approved for specific capacity and intended use during construction. Therefore, when any space of an existing building is used as it was originally intended, a new permit is not required (e.g., holding a class in a classroom). If an activity is planned in a space that requires increased capacity or added features such as enhanced technology, lighting, installation of a stage, amplification of sound, use of displays, etc., then a permit is required.

                        Recruitment of Students, Policy On

                        September 22, 2021

                        Title:  Recruitment of Students, Policy On 
                        Policy Owner: The Division of Enrollment Planning & Management 
                        Applies to: University Employees, Volunteers, Trainees and Others 
                        Campus Applicability: All Campuses 
                        Effective Date: August 23, 2021
                        For More Information, Contact Office of the Vice President for Enrollment Planning & Management 
                        Contact Information: (860) 486-1463 
                        Official Website: https://epm.uconn.edu/

                        PURPOSE

                        To ensure compliance with federal laws and regulations regarding ethical recruitment and enrollment activities conducted at the University. Specifically, Section 487(a)(20) of the Higher Education Act (HEA) and its implementing regulations at 34 C.F.R. 668.14, as well as the University’s Memorandum of Understanding with the Department of Defense.

                        APPLIES TO

                        Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for UConn, is under the direct control of UConn, whether or not they are paid by UConn. 

                        DEFINITIONS

                        Commission, Bonus, Incentives means a sum of money or something of value, other than a fixed salary or wages, paid to or given to a person or an entity for services rendered.  

                        Securing enrollments or the award of financial aid means activities that a person or entity engages in at any point in time through completion of an educational program for the purpose of the admission or matriculation of students for any period of time or the award of financial aid to students.

                        These activities include contact in any form with a prospective student, such as, but not limited to – contact through preadmission or advising activities, scheduling an appointment to visit the enrollment office or any other office of the institution, attendance at such an appointment, or involvement in a prospective student’s signing of an enrollment agreement or financial aid application.

                        These activities do not include making a payment to a third party for the provision of student contact information for prospective students provided that such payment is not based on: (1) any additional conduct or action by the third party or the prospective students, such as participation in preadmission or advising activities, scheduling an appointment to visit the enrollment office or any other office of the institution or attendance at such an appointment, or the signing, or being involved in the signing, of a prospective student’s enrollment agreement or financial aid application; or (2) the number of students (calculated at any point in time of an educational program) who apply for enrollment, are awarded financial aid, or are enrolled for any period of time, including through completion of an educational program. 

                        “Entity or person engaged in any student recruitment or admission activity or in making decisions about the award of financial aid” means (1) with respect to an entity engaged in any student recruitment or admission activity or in making decisions about the award of financial aid, any institution or organization that undertakes the recruiting or the admitting of students or that makes decisions about and awards Title IV, HEA program funds; and (2) with respect to a person engaged in any student recruitment or admission activity or in making decisions about the award of financial aid, any employee who undertakes recruiting or admitting of students or who makes decisions about and awards Title IV, HEA program funds, and any higher level employee with responsibility for recruitment or admission of students, or making decisions about awarding Title IV, HEA program funds. 

                        Enrollment means the admission or matriculation of a student into an eligible institution. 

                        Inducement means any gratuity, favor, discount, entertainment, hospitality, loan, transportation, lodging, meals, or other item have a monetary value or more than a de minimis amount to any individual, entity, or its agents including third party lead generators or marketing forms. 

                        Service Member means a current or former member of the uniformed services which includes (a) the armed forces; (b) the commissioned corps of the National Oceanic and Atmospheric; and (c) the commissioned corps of the Public Health Service. 

                        POLICY STATEMENT

                        The University of Connecticut prohibits the award of any commission, bonus or other incentive payment based in any part, directly or indirectly, upon success in securing enrollments or the awarding of financial aid, to any person or entity who is engaged in any student recruitment, admission activities, or making decisions regarding the awarding of financial assistance.   In accordance with the HEA, this restriction does not apply to the recruitment of foreign students residing in foreign countries who are not eligible to receive Federal student assistance. 

                        In addition, in accordance with the Department of Defense Memorandum of Understanding, the University will refrain from high-pressure recruitment tactics aimed at Service Members, which includes making multiple unsolicited contacts (3 or more) including contacts by phone, email, or in-person, and engaging in same-day recruitment and registration for the purpose of securing Service Member enrollments. 

                        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/FORMS
                        Contact the Division of Enrollment Planning and Management with questions.  

                        POLICY HISTORY

                        Policy created effective: August 23, 2021 [Approved by President’s Senior Team]

                        Revisions:  November 11, 2021 [Approved by the President]