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://universitysafety.uconn.edu/fmbio/

            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]

             

            Mobile and Remote Device Security Policy

            August 30, 2021

            Title: Mobile and Remote Device Security, Information Technology 
            Policy Owner: Information Technology Services / Chief Information Security Officer 
            Applies to: All faculty, staff, student employees, and volunteers   
            Campus Applicability: All campuses except UConn Health 
            Effective Date: August 30, 2021
            For More Information, Contact UConn Information Security Office 
            Contact Information: techsupport@uconn.edu or security@uconn.edu 
            Official Website: https://security.uconn.edu/

            PURPOSE 

            To ensure data and information systems security by establishing requirements for mobile and remote devices.  Mobile and remote devices are important tools for the University, and their use is supported to advance the mission of the university. Mobile and remote devices also represent a significant risk to information and data security. If appropriate security measures and procedures are not applied, mobile and remote devices can serve as a conduit for unauthorized access to University data and IT resources that can subsequently lead to data leakage and a path for compromise of other systems. 

            APPLIES TO 

            This policy applies to all University faculty, staff, student employees, and volunteers who use mobile or remote devices to access any non-public IT resources owned or managed by the University. 

            DEFINITIONS 

            IT Resources: Includes systems and equipment, software, and networks. Systems and equipment include but are not limited to computers, hard drives, printers, scanners, video and audio recorders, cameras, photocopiers, and other related devices. Software includes but is not limited to computer software, including open-source and purchased software, and all cloud-based software, including infrastructure-based cloud computing and software as a service. Networks include but are not limited to all voice, video, and data systems, including both wired and wireless network access across the institution. 

            Mobile Electronic Device: Includes telecommunication and portable computing devices which can execute programs or store data, including but not limited to laptops, tablet computers, smartphones, and external storage devices. Generally, a device capable of using the services provided by a public/private cellular, wireless, or satellite network. 

            Remote Device: Personal computer used off-site 

            POLICY STATEMENT  

            University of Connecticut faculty, staff, student employees, and volunteers who use mobile or remote devices are responsible for any institutional data that is stored, processed, and/or transmitted via a mobile or remote device and for following the security requirements set forth in this policy. 

            To adequately protect the data and information systems of the University, all individuals covered under this policy are expected to meet the following requirements: 

            All users of a mobile electronic device used to access non-public university systems must take the following measures to secure the device: 

            • Configure the device to require a password (minimum of 10 characters), biometric identifier, PIN (minimum of 6 characters), or swipe gesture (minimum of 6 swipes) to be entered before access to the device is granted. Device must automatically lock and require one of the authentication methods after no more than 5 minutes of idle time. 
            • Keep devices on currently supported versions of the operating system and remain current with published patches. 
            • Enable the device’s remote wipe feature to permit a lost or stolen device to be securely erased. 
            • Securely store electronic devices at all times to minimize loss via theft or accidental misplacement. 

              Wherever practical, elements of these requirements will be enforced via centrally administered technology controls.  

              STORAGE OF CONFIDENTIAL DATA 

              In general, confidential data should not be stored on mobile devices, including laptops. However, in certain instances and depending on job responsibilities, this may be unavoidable. In these instances, confidential data must be stored on university-owned devices ONLY with the following requirements: 

              • Except when being actively used, confidential information must at all times be encrypted on any device through a mechanism approved by the University. Alternatively, whole drive encryption software may be deployed to meet this requirement. 
              • Mobile devices must have university-supported software enabled and running to identify, protect, and respond to any threats to the data or operating systems of the devices. 
              • Devices must have Mobile Device Management software installed to facilitate device protection, including remote wipe and, if possible, device location technology for recovery. 

              DEVICE DECOMISSION OR SEPARATION FROM UNIVERSITY 

              When mobile devices, specifically personally owned devices that may have had access to University resources or data, are no longer used, and donated, or given to anyone, the device owner is responsible for ensuring that any University information is securely deleted from the device, including University-related e-mails/accounts, user ID and password, or other cached credentials used to access University systems. 

              In the event of separation from the University, it is the employee’s responsibility to delete any University-related e-mail accounts or University licensed software that may have been installed on personal devices or computers. 

              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. 

              Questions about this policy or suspected violations may be reported to any of the following: 

              Office of University Compliance –  https://compliance.uconn.edu (860-486-2530) 

              Information Technology Services Tech Support –  https://techsupport.uconn.edu (860-486-4357) 

              Information Security Office – https://security.uconn.edu 

               

              POLICY HISTORY 

              Policy created:  August 30, 2021 [Approved by President’s Senior Team] 

              System and Application Security Policy

              Title: System and Application Security Policy 
              Policy Owner: Information Technology Services / Chief Information Security Officer 
              Applies to: All students, faculty, and staff  
              Campus Applicability: All campuses except UConn Health 
              Approval Date: August 30, 2023
              Effective Date: August 31, 2023
              For More Information, Contact: UConn Information Security Office 
              Contact Information: techsupport@uconn.edu or security@uconn.edu
              Official Website: https://security.uconn.edu/

              PURPOSE 

              To ensure the security of university data and systems by establishing requirements for the proper maintenance and oversight of systems and applications used by university constituents.

              APPLIES TO 

              This policy applies to all individuals responsible for operating or overseeing any University system or application, whether on premise or in the cloud.

              DEFINITIONS  

              Academic / Research System: A system whose primary responsibility relates to individual academic work or research

              Administrative System: Any system that is used in support of the operation of the university excluding individual Academic / Research Systems.

              Client Network: A client network is a computer network where individual machines are connected. Client networks consume services and do not offer services to the general population

              ITS: Information Technology Services

              IT Professional: An individual (staff) who is trained and skilled in using technology to solve business problems coupled with assigned job duties in support of technology at the university. This must be a defined responsibility within the position job description and may not fall under “other duties as assigned.” Appropriate training, support, and budget must also be available in support of the IT Professional role.

              Local Network: The local network is those computers logically located in the same subnet

              SaaS: Cloud-based service that is delivered via the web based on either a monthly or annual subscription

              PaaS:  Cloud-based service that provides a platform allowing for the development of software using an established framework to improve development time and management of cloud services

              PII (Personally Identifiable Information):  Information that either singularly or in conjunction with other data elements could reasonably lead to the identification of specific individuals

              Public Availability: Services offered publicly include services offered outside of the local network

              Regulated Data: Any data that has regulations around its protection prescribed either by law or contract is automatically considered administrative data. Examples include: Personally Identifiable Information (PII), Payment Card Information (PCI), Personal Health Information (PHI) and FERPA (Family Educational Rights and Privacy Act)

              System Owner: The individual who is responsible for the planning and operation of the service. All systems must have a designated system owner.

              POLICY STATEMENT  

              The proper management, maintenance and support of systems and applications is critical to protecting the data they store or process from a confidentiality, integrity, and availability perspective.

              Basic Requirements (all systems including academic, administrative and research)

              System Ownership

              All systems including cloud-based systems supporting any aspect of the University must have an identified owner and responsible party for ensuring the controls specified in this policy.

              All software and services used to process University information are subject to an Information Security review and sign off prior to their purchase or development. Information Security reviews will evaluate specific risks and controls available and necessary based on the information being processed. The system owner will be responsible for the deployment of the agreed upon security controls prior to enabling the production capability of the system or application.

              System Access

              Access to information in the possession of or under the control of the University must be provided on a need-to-know basis. Information must be disclosed only to individuals who have a legitimate and approved need for the information. For most applications, this requires the use of proper authentication methodologies and the use of Single Sign On (SSO) is encouraged.

              Information may only be used for its intended purpose, and other uses of university information without the approval of the data owner is prohibited.

              Patching and Maintenance

              All system owners must ensure the timely implementation of operating systems and application patches to provide for the confidentiality, integrity, and availability of the systems or data. The ongoing maintenance of applications and the application of software updates is an activity that must be minimally scheduled on a quarterly basis.

              System and Application Lifecycle Management

              System owners are responsible for the planning of and budgeting for system maintenance and obsolescence. Any system or application that is no longer supported by the vendor or is replaced by newer technology should be decommissioned as soon as possible.  The decommissioning process must include the proper retirement of any physical hardware or virtual images and the proper destruction of any media (e.g., hard drives, tapes, etc.) that may have data. Cloud services that are decommissioned should ensure the proper handling of any data (return and/or destruction) in the cloud vendor’s possession as part of the contract cancellation.

              Cloud based systems

              Software as a Service / Platform as a Service

              While patching and maintenance of Cloud-based SaaS and PaaS systems is typically handled by the vendor, identified individuals are responsible for proper security configurations and user management associated with providing the service. A Vendor Risk Management review is necessary for all newly procured services.

              Infrastructure as a Service (IASS)

              IAAS provides a significant amount of flexibility in the configuration and use of the platform. This requires additional expertise that requires management by an IT Professional and where applicable must meet the same requirements as Administrative Systems.

              Administrative Systems

              System and Application Security

              Administrative systems due to their complexity must be managed by an IT Professional.

              Administrative systems will be required to adhere to all regulatory requirements and meet security controls / standards as set forth by the Information Security Office based on institutional requirements.

              Encryption

              All systems housing administrative data are expected to have data encrypted in transit and at rest to protect data. Where available, encryption keys should reside outside of the application.

              User Management

              University of Connecticut Information Technology Services (ITS) provides centralized user identity and access management that supports identity validation and access management (IAM) using a NetID and password providing for single sign on (SSO) across multiple systems. Systems and applications that rely on the University IAM platform for authenticating individual access rights can forgo the need for user management outside that of assigning any roles within the system or application, as necessary. The use of SSO for all systems is highly recommended.

              Systems and applications that do not use the central IAM solution must have a written plan and designated individual responsible for the creation, modification, and deletion of user IDs. User IDs, including student accounts, must be reviewed when faculty, staff, or students separate from the University at least annually. This includes a process for ensuring the secure creation of passwords and a secure password reset process for validating an individual’s identity prior to resetting the password.

              Systems where individuals have access to a significant amount of the PII of other constituents, including but not limited to students, faculty, staff, alumni, and vendors, or significant amounts of regulated data require two-factor authentication wherever possible.

              Software Maintenance

              Only necessary software should be loaded on systems, and old versions of software removed. The use of web browsers and other individual productivity tools should be limited to the management of the system only.

              Auditing of Systems and Application Logs

              System and application logs must be reviewed for inappropriate access on a regular basis (at least monthly) or via automated systems capable of detecting misuse through the analysis of frequent password failures, geographic anomalies, or inappropriate access attempts. ITS maintains a centralized logging and reporting platform, which can assist in the analysis of large amounts of data often associated with system and application logs. All administrative systems must log to the centralized logging and reporting platform events related to login activity and security event data.

              Mandatory Reporting

              All suspected policy violations, system intrusions, and other conditions that might jeopardize University information or information systems must be immediately reported to the Information Security Office.

              ENFORCEMENT 

              Systems and applications that do not follow the standards set forth in this policy may be administratively shut down or have access restricted. Systems maintained at the departmental or individual level may incur costs in association with enabling the proper protections or in the event of data exposure.

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

              PROCEDURES/FORMS 

              Questions about this policy or suspected violations may be reported to any of the following: 

              Office of University Compliance –  https://compliance.uconn.edu (860-486-2530) or UConn Reportline (1-888-685-2637)

              Information Technology Services Tech Support –  https://techsupport.uconn.edu (860-486-4357) 

              Information Security Office – https://security.uconn.edu 

              POLICY HISTORY 

              Policy created: August 30, 2021 (Approved by President’s Senior Team)

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

               

              Network Access Policy

              Title: Network Access Policy, Information Technology
              Policy Owner: Information Technology Services / Chief Information Security Officer 
              Applies to: All students, faculty, staff, volunteers, and contractors  
              Campus Applicability: All campuses except UConn Health 
              Effective Date: August 30, 2021
              For More Information, Contact UConn Information Security Office 
              Contact Information: techsupport@uconn.edu or security@uconn.edu 
              Official Website: https://security.uconn.edu

              PURPOSE 

              The University invests significantly in maintaining a secure network that meets the academic, research, residential, and administrative needs of the institution. To ensure compliance with applicable Federal and State laws and regulations, and to protect the campus network and the ability of the University community to use it, certain security, performance, and reliability requirements must govern the operation of these networks. 

              APPLIES TO 

              This policy applies to all University faculty, staff, students, student employees, volunteers, and contractors who have access to university networks. 

              DEFINITIONS  

              University Network: The university network is comprised of the network hardware and infrastructure and the services to support them, from the data jack or wireless access point to the University’s Internet Service Provider’s (ISP) connection. The university network begins at the connection to the network (wired or wireless) and ends where we connect to the Internet. 

              Wired Network:  The wired network consists of the physical cabling, infrastructure, and management systems that provide physical network access via an ethernet or fiber optic cable. 

              Wireless Network:  The wireless network consists of the access points (connected to the wired network), wireless spectrum, and management systems that provide services via the UConn provided wireless networks, including UConn Secure, Guest, EDUROAM, and other specialty networks. 

              POLICY STATEMENT  

              The University network (wired & wireless) is an essential resource for the University of Connecticut students, faculty, staff, and guests. The University network provides a variety of critical services that meet the academic, administrative, research and residential needs of the University. Due to the complex nature of the University’s network, Information Technology Services (ITS) is responsible for the overall design, installation, coordination and operation of the University’s network environment. 

              Wired Networks 

              • The wiring and electronic components of the network are deemed part of the basic infrastructure and utility services of the University. Installation and maintenance of that network are to be considered part of the “up front” basic required building and renovation costs and are not considered discretionary options in construction and renovation design. 
              • Standards for the network wiring, electrical components, and their enclosures are defined by Information Technology Services (ITS), subject to Building and Grounds (B&G) oversight and are considered part of the University’s “building code” to which installations must conform. 
              • Upgrades to our campus network will be done as part of a university-wide Network Master Plan.  This Network Master Plan will be coordinated with the University’s Building Master. 
              • Units that would like to use their own funding to install wired/wireless technology or change the programmatic function or use of a room to newly include a wired/wireless activity must work directly with ITS Network Engineering for design services and standards requirements. ITS Network Engineering will thereby ensure that all changes to the wired network conform to applicable standards. 
              • Units choosing to install and establish their own security using local firewalls and/or VPNs must give ITS Network Engineering and Information Security access to/through these devices into the active network segments. This will give Network Engineering the ability to see beyond the secure points of the network for diagnosing problems potentially affecting the overall network. 
              • Units wishing to design, install and maintain their own network must have their designs reviewed by ITS Network Engineering. All installations must conform to the standards set forth in the ITS Design Guide and Standards. Before equipment is purchased, the requesting entity must submit technical specifications of the equipment to be used in the project, along with the logical and physical design maps, for ITS approval to ensure network compatibility and service conformance. ITS Network Engineering will provide the department with an approval letter, which can be submitted to Purchasing with the purchase request. 

                Wireless Networks 

                • The addition of new wireless access points on the University network must be coordinated and approved by ITS.  Wireless performance is impacted by the architectural features, building materials, and furnishings of a contemporary workspace.  Construction and renovation projects must be coordinated with ITS and include funding for additions or adjustments required to optimize performance and serviceability of impacted wireless access points and systems. 
                • On an exception basis, departments and individual faculty may install and manage wireless access points for specific programmatic needs. These locally administered wireless access points must be registered and coordinated with ITS prior to deployment to prevent radio frequency (RF) interference on either wireless network.  At least one individual in the requesting department must be designated as the official contact for the access point.  The official contact is responsible for the data and network traffic that traverses through the access point and appropriate access control and security configuration, as well as the regular maintenance, software updates, and replacement. 
                • Any devices either not part of or that cause significant RF interference with the University wireless network will be considered a “rogue” access point or device.  ITS will pursue all reasonable efforts to contact the owner of the rogue device, and if necessary, may disable or disconnect them from the University network. This includes devices and equipment that operate in the frequency ranges occupied by the University Wi-Fi network. 

                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.  

                Questions about this policy or suspected violations may be reported to any of the following: 

                Office of University Compliance –  https://compliance.uconn.edu (860-486-2530) 

                Information Technology Services Tech Support –  https://techsupport.uconn.edu (860-486-4357) 

                Information Technology Services CIO – https://cio.uconn.edu  

                 

                POLICY HISTORY 

                Policy created:  This policy replaces the Wireless Network Policy (05/15/2006) and Physical Network Access Policy (11/18/2008). Approved by President’s Senior Team 8/30/2021. 

                 

                Firewall Policy

                Title: Firewall Policy 
                Policy Owner: Information Technology Services / Chief Information Security Officer 
                Applies to: All students, faculty, and staff responsible for configuring firewalls 
                Campus Applicability: All campuses except UConn Health 
                Effective Date: August 30, 2021
                For More Information, Contact UConn Information Security Office 
                Contact Information: techsupport@uconn.edu or security@uconn.edu 
                Official Website: https://security.uconn.edu/

                PURPOSE 

                To ensure a common set of firewall configurations across the organization to maximize their protection and detection capabilities in support of the security of the University. Firewalls provide a valuable protection and detection capability for the organization when properly configured, managed, and monitored.  

                APPLIES TO 

                This policy applies to all University faculty, staff, students, student employees, volunteers, and contractors who have responsibility for controlling or configuring firewalls. 

                DEFINITIONS 

                EOL: End of Life 

                EOS: End of Support 

                IANA: Internet Assigned Numbers Authority (iana.org)  

                POLICY STATEMENT  

                The University operates in a highly flexible and adaptive security environment to meet its academic, research, and administrative missions. While the ability to adapt to meet the ever-changing needs of the University is important, oversight and reporting of firewall activities are critical to the successful protection and operation of the University environment. The following firewall requirements must be met: 

                Firewall Configuration Standards 

                • All firewalls must be properly maintained from a hardware and software perspective. This includes proper lifecycle planning for EOL and EOS software/hardware and regular review (at least annually) of firewall rulesets. 
                • All dedicated firewalls used in production must follow the University firewall management standard, which includes the ability to review currently configured firewall rules across the organization, identification of shadow or redundant rules and rules in conflict, and standardization of device/object names.  
                • Firewall rulesets and configurations must be backed up frequently to alternate storage (not on the same device). Multiple generations must be captured and retained in order to preserve the integrity of the data, should restoration be required. Access to rulesets, configurations and backup media must be restricted to those responsible for administration and review. 

                Firewall Rules 

                Firewall rules specify (either allow or deny) the flow of traffic through the firewall device. Firewall rules are typically written based on a source object (IP address/range, DNS Name, or group), destination object (IP address/range, DNS Name, or group), Port/Protocol and action. 

                • All firewall implementations should adopt the principal of “least privilege” and deny all inbound traffic by default. The ruleset should be opened incrementally to only allow permissible traffic. 
                • Outbound traffic should be enumerated for data stores, applications, or services 
                • Overtly broad rules may be allowed for specific groups of individuals (not systems). Approval must be granted by the Chief Information Security Officer or their designee. 
                • The use of overly permissive firewall rules is prohibited (i.e., ANY/ANY/ALL rules). 
                • Protocols defined in services and in the firewall must utilize Service Name and Protocol/Port information as assigned by IANA, unless there is a technical reason to do otherwise other than “security through obscurity” and must be commented appropriately in the ruleset.  

                  Firewall Logging 

                  Firewall log integrity is paramount to understanding potential threats to the network. Firewall devices must log the following data to a system outside of the physical firewall itself and must be regularly reviewed at least monthly or programmatically through automated means. Firewall logs may be forwarded to the ISO SIEM for retention and analysis. 

                  The following items must be logged as part of the operation of the firewall: 

                  • All changes to firewall configuration parameters, enabled services, and permitted connectivity 
                  • Any suspicious activity that might be an indicator of either unauthorized usage or an attempt to compromise security measures 

                  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.  

                  Questions about this policy or suspected violations may be reported to any of the following: 

                  Office of University Compliance –  https://compliance.uconn.edu (860-486-2530) 

                  Information Technology Services Tech Support –  https://techsupport.uconn.edu (860-486-4357) 

                  Information Security Office – https://security.uconn.edu 

                   

                  POLICY HISTORY 

                  Policy created: August 30, 2021 [Approved by President’s Senior Team]

                  Mandatory Workforce COVID-19 Vaccination Policy

                  August 18, 2021

                  Title: Mandatory Workforce COVID-19 Vaccination Policy
                  Policy Owner: Human Resources
                  Applies to: All employees, including volunteers and contractors
                  Campus Applicability: All campuses, excluding UConn Health
                  Effective Date: August 18, 2021
                  For More Information, Contact Human Resources
                  Contact Information: HR@uconn.edu
                  Official Website: https://hr.uconn.edu/

                  PURPOSE 

                  UConn is committed to protecting our students, employees, and our communities from COVID-19. Toward that goal, and in consideration of guidance released by the state of Connecticut, the U.S. Centers for Disease Control and Prevention (CDC), and a variety of public health authorities and professional organizations, UConn is implementing a mandatory vaccination policy for its workforce.

                  APPLIES TO

                  The Mandatory Workforce COVID-19 Vaccination Policy applies to all Workforce members (see definition below)[1]. This policy applies to Workforce members regardless of whether they work on-site or remotely, unless the individual qualifies for an exemption as provided herein. Exemptions may be granted to Workforce members (1) who have certain medical conditions; or (2) on the basis of a strong religious or sincerely held belief. Workforce members who are denied an exemption shall have ten (10) days from the date of the notice of the denial to receive the vaccine (either a single dose vaccine or first dose of the 2-dose vaccine). Deferral of the receipt of the vaccine may be granted to Workforce Members (1) who have certain medical conditions; (2) who are on approved block FMLA or supplemental leave; (3) due to a positive COVID test or treatment; or (4) due to current pregnancy or breastfeeding.

                  DEFINITIONS

                  Workforce Members: All UConn employees, volunteers, and any contracted individuals.

                  COVID-19: COVID-19 is a respiratory disease caused by SARS-CoV-2, a new coronavirus discovered in 2019. The virus is thought to spread mainly from person to person through respiratory droplets produced when an infected person coughs, sneezes, or talks.

                  Fully Vaccinated: Individuals are considered fully vaccinated 1) two weeks after their second dose in a 2-dose series (such as the Pfizer or Moderna vaccines); or 2) two weeks after a single-dose vaccine (such as Johnson & Johnson’s Janssen vaccine).

                  International employees shall be considered in compliance with the COVID-19 vaccine requirement if they have been vaccinated with a COVID-19 vaccine that has either been authorized for emergency use in the United States by the Food and Drug Administration (FDA) or been authorized for emergency use outside of the United States by the World Health Organization (WHO).

                  POLICY STATEMENT

                  All Workforce members are required to have or obtain a COVID-19 vaccination as a term and condition of employment at UConn, unless an exemption or deferral has been approved. All Workforce members shall be required to report their vaccine status and to provide approved documentation as proof of vaccination.  All current employees shall be required to report their status not later than September 10, 2021.  All new Workforce members shall be required to provide proof of their vaccination status prior to the start of their employment.  All records of vaccinations and approved exemptions will be maintained by Human Resources. Such records will not be included in Workforce members’ personnel files.

                  ENFORCEMENT

                  Violations of this policy or associated procedures may result in appropriate disciplinary measures, up to an including dismissal, in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, other applicable University Policies, or as outlined in any procedures document related to this policy.

                  PROCEDURES/FORMS

                  Procedures and forms associated with this policy are available on the Human Resources website.

                  REFERNCES

                   

                  [1] Workforce members represented by bargaining units under the jurisdiction of the State’s Office of Labor Relations (OLR-OPM) are not currently subject to mandatory vaccination requirements of this policy until negotiations have concluded. They are subject to the mandatory reporting, testing and health and safety requirements if unvaccinated.

                  Travel and Entertainment Policy

                  April 29, 2020

                   

                  Title: Travel and Entertainment Policy
                  Policy Owner: Office of the Associate Vice President for Financial Operations and Controller
                  Applies to: All University Employees, Students, and Guests, including but not limited to Recruits and Job Candidates.
                  Campus Applicability: All campuses, excluding UConn Health
                  Effective Date: June 30, 2021
                  For More Information, Contact Associate Vice President for Financial Operations and Controller
                  Contact Information: travel@uconn.edu
                  Official Website: https://travel.uconn.edu/

                  PURPOSE

                  GENERAL GUIDELINES

                  PART 1: PLANNING AND APPROVAL
                  1a. Authorization to Travel
                  1b. Travel Advances and Payroll Deductions
                  1c. Official Travel Parties
                  1d. Spousal/Partner Travel Event Participation
                  1e. Combined Business and Personal Travel
                  1f. Fellowship Travel
                  1g. Sponsored Program Travel

                  PART 2: AIR TRAVEL
                  2a. Transportation to and from an Airport
                  2b. Airport Parking
                  2c. Commercial Air Travel
                  2d. Baggage Fees
                  2e. Unused Tickets
                  2f. Charter Air Travel for Official Travel Parties

                  PART 3: GROUND TRAVEL
                  3a. Ground Versus Air Travel
                  3b. Rail Travel
                  3c. State‐owned Vehicles
                  3d. Personally Owned Vehicles
                  3e. Rental Vehicles

                  PART 4: LODGING
                  4a. Out‐of‐State Lodging
                  4b. In‐State Lodging
                  4c. Use of Local Hotels
                  4d. Group Lodging

                  PART 5: MEALS
                  5a. Meals for Unclassified Employees (while traveling)
                  5b. Meals for Classified Employees (while traveling)
                  5c. Meal Expenses for Single‐Day Travel (no overnight)
                  5d. Conference and Other Meals Provided
                  5e. Business Meals
                  5f. Gratuities

                  PART 6: OTHER EXPENSES
                  6a. Registration Fees
                  6b. Telephone, Internet, Computer, and Facsimile Charges While Traveling
                  6c. Foreign Currency Rates and Per Diem Reimbursement
                  6d. Prescriptions and Medical Expenses for International Travel

                   

                  PURPOSE

                  The University of Connecticut (University), here defined as all campuses and programs except for UConn Health, recognizes and supports the need for faculty, staff, and students (undergraduate and graduate) to travel for conferences, events, and other purposes that further the reputation of the University and enhance the productivity of the University community.  Likewise, the University may also find it important to entertain guests.

                  University business includes travel and entertainment related to activities such as program accreditation, student assessment, academic programming, clinical placements, presentations at or participation in conferences, professional development, fundraising, continuing education, travel related to an employee’s official duties, athletic travel, and many other important activities that support the intellectual and operational endeavors of the University.

                  At the same time, as a State agency, we must respect and safeguard our travel privileges and funds. We must practice fiscal, ethical, and public responsibility.  This policy sets forth rules that balance the University’s business travel and entertainment needs with sound stewardship of public resources.

                  This policy addresses the most common aspects of University business travel and entertainment. It cannot contemplate every situation that might arise, however.  Travelers and administrators with questions should contact their supervisor or University Business Services for guidance before they arrange their travel.

                  This policy applies to all University employees, students, and guests, including but not limited to recruits and job candidates.  The policy shall also apply to the travel and entertainment expenses of contractors, unless the applicable contract provides terms inconsistent with this policy.  Where the policy is intended to apply differently to any of the above University business travelers, it will be so stated in the appropriate section of the policy.  This policy covers all types of University travel for individuals, groups, and team travel.  Employees covered under a collective bargaining agreement (“CBA”) may be subject to additional and/or different policies regarding travel and entertainment.  For such employees, in the event of a conflict between this policy and the applicable CBA, the CBA shall control.

                  GENERAL GUIDELINES

                  Employees can be reimbursed for certain travel and entertainment expenses related to University business.  University business expenses are the ordinary and necessary expenses of conducting your job, are not lavish or extravagant, and are not for personal purposes.  To be reimbursable, such expenses must be reasonable and appropriate to the circumstances, and in the case of federal grant and/or grant-based sponsored travel, conform to the sponsor requirements as described below under “Sponsored Program Travel” and highlighted in specific sections of this policy.  All reimbursements are subject to final review and approval from Accounts Payable.

                  Students should follow the same policies for University employees, with the exception of those provisions in Collective Bargaining Agreements that apply to particular employees. Students are reimbursed at the same rate as unclassified employees.  Travelers should also be aware of the Protection of Minors policy (https://policy.uconn.edu/2016/03/29/protection-of-minors-and-reporting-of-child-abuse-and-neglect-policy/).

                  ELIGIBLE FOR REIMBURSEMENT

                  With appropriate justification and documentation, travelers can be reimbursed for airfare, railroad tickets, conference registrations, mileage, tolls, lodging, meals, car rental, parking, and other relevant business expenses. Travelers must submit receipts for: (i) expenses greater than $50 that are paid for using the University Travel Card; and (ii) expenses greater than $25 that are paid for by means other than the University Travel Card.

                  Travelers and Administrators should contact travel@uconn.edu or visit travel.uconn.edu for additional information on what may be reimbursed and how.

                  A primary goal of these policies is to generate cost savings for the University to the greatest extent possible, while simultaneously maintaining the convenience and practicality of the traveler.  If a traveler can document a cost saving measure, which would otherwise be in violation of these policies, Accounts Payable will review the expenditure and, most often, support and reimburse the cost saving measure.

                  In situations where individuals may share expenses related to travel or entertainment, it is the policy of the University to reimburse the individual who can document having paid the shared expense.  The University is not a party to agreements between individuals to loan or share expenses, and individuals who enter such agreements are responsible for settlement between themselves.

                  In special circumstances, exceptions to these policies may be warranted.  The President, Provost, Executive Vice President for Administration and Chief Financial Officer, or the Athletic Director or their authorized designees, may review and grant reasonable exceptions.  Exceptions are subject to final review and approval by Accounts Payable.  Additionally, individuals who require accommodations for reasons of health or disability may seek reasonable exceptions to this policy.  Individuals who seek such accommodations may seek the assistance of the Department of Human Resources.

                  The University reimburses travel and entertainment expenses pursuant to the rules applicable to accountable plans under Section 1.62-2(c)(1) of the Treasury Regulations and, for certain independent contractors, the rules applicable to working condition fringe benefits under Section 132(a)(3) of the Internal Revenue Code and the Treasury Regulations corresponding thereto.  Accordingly, all reimbursable expenditures must have a business purpose and must be supported by documentation.  Whenever this policy is silent or ambiguous about the sufficiency of documentation of expenses, the terms of the tax authorities cited above shall control.  For further guidance, travelers may consult IRS Publication 463.

                  NOT ELIGIBLE FOR REIMBURSEMENT

                  Employees are responsible for getting to and from work each workday.  Employees will not be reimbursed for mileage associated with their normal commutes, regardless of the location of their home in relation to their official duty station at the University.  Moreover, when an employee travels from their home to an off-site business destination (including an airport or a rail station), only the difference between the mileage to the off-site destination and the mileage of the employee’s normal commute is eligible for reimbursement.  In other words, employees must deduct the mileage of their normal commute when they claim mileage for travel from their homes to business destinations.

                  Travelers will not be reimbursed for personal items, including but not limited to newspapers, magazines, toiletries, laundry services, childcare costs, pet boarding fees, credit card interest or late fees, hotel and airline membership fees, airline upgrades, pillows, blankets, headsets, or parking for personal travel.

                  Travelers will not be reimbursed for parking fines, traffic violation tickets, towing charges, or other vehicular fines.

                  Travelers will not be reimbursed for trip cancellation insurance or other private insurance. For this reason, as well as administrative considerations, travelers are strongly encouraged to book their flights through the University’s contracted and preferred agency. For international travel only, medical insurance and emergency evacuation is provided by the University.

                  Travelers will be responsible for no-show fees (e.g., airfare, hotel, etc.), unless in rare circumstances the no-show fee relates to a business reason or an emergency that prevented the traveler from cancelling.  The justification must be documented and provided to Accounts Payable, which may require approval from the appropriate Department Head, Director, or Dean.  These fees are typically not reimbursable in the case of federal grant and/or grant-based sponsored travel.

                  Expenses paid with credits received from rebates, points, vouchers, etc., are not eligible for reimbursement regardless of how the credits were earned.

                  In addition, travelers will not receive travel reimbursement for participation in events that are not related to their University work or activities.

                  REIMBURSEMENT APPROVAL

                  To avoid actual or apparent conflicts of interest, and to ensure proper separation of duties, employees may not approve payment or reimbursement for their own expenses, expenses of a close relative, expenses related to an event in which they participated, or expenses of an individual to whom they directly or indirectly report.

                  Employees’ travel and reimbursement requests are subject to approval by supervisors, the Fiscal Officer of the account(s) from which the expenses are paid and Accounts Payable.  These constituencies share responsibility in enforcing this policy and confirming that all reimbursements are supported with a business purpose and clear documentation.  Additionally, travel expenses funded by sponsored awards administered by the University will be reviewed by Sponsored Program Services and the Principal Investigator (PI).  Final approval of the expenses is subject to review by Accounts Payable.

                  To be reimbursed, travelers are requested to submit a Concur expense report, along with all supporting documentation, within fifteen days of returning from a trip. The University is committed to the timely processing of financial transactions as an integral part of operations and is also observant of the tax rules applicable to employee reimbursements. Therefore, reimbursements submitted later than 60 days after travel is complete will be paid only at the discretion of the appropriate Department Head, Director, or Dean, subject to final review and approval by Accounts Payable. In no event will reimbursements submitted later than 120 days after travel is complete be reimbursed, even with approval from the appropriate Department Head, Director, or Dean

                  PROCEDURES 

                  Travel and Entertainment procedures are available at: https://travel.uconn.edu.

                  PART 1: PLANNING BUSINESS TRAVEL

                  1a. AUTHORIZATION TO TRAVEL

                  The University requires pre-approval for travel that involves any travel segment (Airfare, Hotel or Car Rental) for employees, students and guests.  Individuals who incur travel expenses relating to any travel segment (Airfare, Hotel or Car Rental) without prior approval from their supervisor bear the risk that their expenses may not be reimbursed upon return.  The decision to reimburse a traveler in connection with travel that had not been pre-approved will be at the sole discretion of the President, Provost, Executive Vice President for Administration and Chief Financial Officer, or Athletic Director (or their designees).

                  Further, travelers are strongly encouraged to secure a pre-approval through Concur’s Travel Request module for travel that does not involve a travel segment (e.g., day trip to Boston or New York City), as this will enable monitoring in the event of an emergency.

                  Travelers should make every effort to reserve travel as soon as practicable, in order to achieve the most cost-effective travel rates.

                  1b. TRAVEL ADVANCES AND PAYROLL DEDUCTIONS

                  It is possible to request an advance for certain travel expenses.  However, such advances will only be issued in certain limited circumstances, and may not be used for expenses that can be charged to the employee’s University Travel Card or that may be paid directly by the University.

                  1c. OFFICIAL TRAVEL PARTIES – ATHLETIC TRAVEL

                  An “Official Travel Party” is a group of individuals who are authorized to travel on behalf of the University to athletic events.  The Athletic Director is required to approve the “Official Travel Party.”

                  Individuals not included in an “Official Travel Party” require pre-approval by the Athletic Director, or his or her designee, prior to travelling on a team trip.

                  Once travel is completed, Athletics is required to submit the final travel roster for that trip.  The final travel roster must include the names and affiliation of individuals that traveled.

                  1d. SPOUSAL/PARTNER TRAVEL AND ENTERTAINMENT PARTICIPATION

                  The travel or entertainment expenses of a spouse, partner, immediate family or dependent generally fall within one of three classifications. (Such expenses are not allowed on sponsored awards.)

                  Bona Fide Business Purpose

                  If the attendance of a spouse, partner, immediate family or dependent serves a bona fide business purpose for the University, the University may pay the travel or entertainment expenses of the spouse or partner.  To meet the high standard of a bona fide business purpose, the presence of the spouse or partner must be compelling or essential (and not just beneficial) to carry out the business interests and functions of the University.

                  Employment Agreement

                  Absent a bona fide business purpose, if an individual’s University employment arrangement or contract permits his or her spouse or partner to travel, or provides that his or her spouse or partner may attend University events, then the cost of such travel or event, or any reimbursement therefore, will be considered compensation to the employee and will be included in the taxable wages of the employee.

                  Accompaniment with No Business Purpose

                  The travel and entertainment expenses of a spouse, partner, immediate family or dependent who has no official role for the University and is simply accompanying an individual on University-related travel are the personal responsibility of the traveler, and as such will not be paid or reimbursed using University funds.

                  1e. COMBINED BUSINESS AND PERSONAL TRAVEL

                  Employees may combine travel for personal and business reasons, subject to the guidelines below.

                  If weekends, holidays, or necessary standby days fall between business travel days the traveler may be reimbursed for a hotel where a cost savings can be demonstrated.  Example – if a traveler attends a two-week conference and there is a cost savings by remaining at the conference location over the weekend versus flying home and back during the weekend.

                  If a traveler chooses to arrive early or to stay longer for non-business reasons, the University will not pay for expenses incurred during additional personal days or any other personal travel expense. The only exception and in special cases, travelers will be able to combine their business and personal travel at a cost lower than if a single trip were only for business. In these special cases, the University will reimburse the traveler for the lower-cost business and personal trip provided that the traveler has clearly documented the cost savings to the University.  The traveler must provide supporting documentation and economic justification from the time of booking, including cost comparisons from the University’s contracted and preferred agency on the date of booking.

                  Travelers will be reimbursed for travel days as follows:

                  • Preceding a conference, meeting etc.
                    • Outbound flight segments less than eight (8) hours in duration – one day
                    • Outbound flight segments exceeding eight (8) hours in duration – two days
                  • Following a conference, meeting, etc. – one day

                  1f. FELLOWSHIP TRAVEL

                  Travel by University Fellows, to be reimbursed or otherwise paid by the University, must adhere to the guidelines contained throughout this policy.  Such travel may be taxable to the Fellow under IRS guidance.

                  1g. SPONSORED PROGRAM TRAVEL

                  Travel is a direct cost to a sponsored project when such travel will provide direct benefit to the award and is:

                  • Allowable: The cost must be allowable under both the provisions of the Office of Management and Uniform Guidance and under the terms of a specific award.
                  • Allocable: The cost must be allocable; that is, the expense can be associated to a project with a high degree of accuracy.
                  • Reasonable: The cost must be reasonable; that is, the cost reflects what a “prudent person” would pay in a like circumstance.

                  If federally funded, sponsored awards are subject to certain federal laws and the guidelines set forth in the Uniform Guidance, 2 CFR Part 200—uniform administrative requirements, cost principles, and audit requirements for federal awards.  All sponsored project awards may be subject to specific agency restrictions, as well as the remainder of this policy.  The terms and conditions of the individual agreement should be reviewed prior to incurring and/or submitting any travel for approval or for reimbursement.  The terms of this travel policy apply to all sponsored programs unless the sponsor’s requirements are more restrictive; if they are, then the sponsor rules must be followed.  The Principal Investigator is responsible for the financial stewardship of their award and for adhering to sponsor and University requirements for travel, and the spending of sponsored funds in general.

                  The following list highlights some common sponsored travel restrictions.  Some awards may:

                  • Prohibit foreign travel
                  • Require pre-authorization by Sponsor for each trip
                  • Restrict the number of trips that can be taken
                  • Restrict the number of travelers on an authorized trip
                  • Set a maximum dollar value per trip
                  • Allow attendance to a conference to present research, but not for the purpose of “staying current in the field”
                  • Limit travel to a specific destination or purpose
                  • Specify maximum meal, mileage or other cost rates.

                  Sponsored travel must be justified, well-documented, in compliance with the sponsor requirements, and incurred within the period of the award.  Travelers on sponsored funds must provide sufficient explanation so that anyone reviewing the transaction can verify that it is allowable, allocable, and reasonable to the project charged.  Charges that are split between two or more projects must demonstrate how the trip specifically benefited each project respectively.

                  Entertainment costs are not allowable to a sponsored project without explicit prior approval from the sponsor and Sponsored Program Services.

                  Federal airfare

                  The federal Fly America Act mandates that travel sponsored by the federal government must be on U.S. airlines or a foreign air carrier that code shares with a U.S. flag carrier on the flight taken, subject to certain limited exceptions.  This includes flights within the U.S.  If there is no U.S. carrier to your destination, you must travel on a U.S. carrier as far as possible.  By law, additional cost for U.S. carrier flights is not sufficient justification to fly on foreign carriers.  Please note that the same rules apply to a foreign visitor’s flights.

                  One exception to this requirement is transportation provided under a bilateral or multilateral air transport agreement called “Open Skies Agreements.”  There are currently four Open Skies Agreements that permit traveling on a European Union, Norwegian, Icelandic, Australian, Swiss, or Japanese carrier under specific circumstances.

                  Though the federal Open Skies policies allow the use of foreign airlines, the easiest and safest way to comply with Federal air travel regulations is to continue to book flights only on U.S. airlines.  The use of a U.S. air carrier is required on Department of Defense (DoD) awards even when there is an Open Skies Agreement in place.

                  Fly American and Open Skies are covered further in the Air Travel section of this policy.

                  PART 2: AIR TRAVEL

                  2a. TRANSPORATION TO AND FROM AN AIRPORT

                  Travelers should use the most reasonable and cost-effective mode of travel to airports.  Except in cases where a traveler provides a written explanation of special circumstances, travelers must use a personal vehicle to travel to and from the airport of departure.  For travel to and from the destination airport, the appropriate means of travel to the airport may include a personal vehicle, a rented vehicle, a ride-sharing service (e.g., Uber or Lyft), a taxi, or a shuttle service.  Private livery services (defined herein to mean all private vehicles for hire, except for taxi services) are not to be used by employees, students, consultants, or gratis appointments unless the traveler provides a written explanation of a special need for a private vehicle.  Acceptable special needs for a private vehicle shall be evaluated by Travel Services and may include, but not be limited to cost saving, accommodation for a health or medical concern, the unavailability of other options, or the need to transport an important University guest.  Exceptions or additional review may be granted or conducted by the appropriate Department Head, Director, or Dean subject to final review and approval by Accounts Payable.

                  Travelers may be reimbursed for personal vehicle mileage in accordance with this policy.  However, travelers will receive reimbursement for the difference in mileage between their trip to the airport from their home or official duty station (where the employee is permanently assigned) and their normal commute to work.  In other words, if a traveler lives closer to Bradley International Airport than to his or her official duty station, and if the traveler travels directly from his or her home to the airport, the University will not reimburse the traveler for the trip to the airport.

                  Travelers will not be reimbursed for airport hotel costs prior to the day of departure or after return.

                  2b. AIRPORT PARKING

                  Travelers should park at the lowest-cost parking lot.   Applicable procedures are available at: https://travel.uconn.edu.

                  2c. COMMERCIAL AIR TRAVEL

                  Employees should generally purchase the lowest commercial airfare available, but may also make reasonable allowances for practicality and preferences such as safety, scheduling and any need for special accommodations.  Travelers are strongly urged, but not required, to use the University’s contracted and preferred agency to book airline travel.  Additionally, individuals who require accommodations for reasons of health or disability may seek reasonable exceptions to this policy.  Individuals who seek such accommodations may seek the assistance of the University’s Office of Diversity and Equity.

                  Travelers may not insist on non-stop flights.  In determining the lowest and most practical commercial fare, the traveler should consider not only non-stop flights, but also flights with one connection (both departing and/or returning).

                  Travelers should purchase non-refundable tickets unless a refundable ticket is documented to be within $50 of the non-refundable ticket for the same flight.

                  First class air travel rates will not be paid for or reimbursed by the University.  The University will allow business class travel only on international flights with at least one flight segment exceeding eight (8) hours in duration.  All business class ticketing must be booked through the University’s contracted and preferred agency.  Business class airfare may not be charged to a federal sponsored award, and the cost in excess of the coach fare must be charged to an account other than the federal grant/contract, except when traveling coach would: (1) require circuitous routing; (2) require travel during unreasonable hours; (3) excessively prolong travel; (4) result in additional costs that would offset the transportation savings; or (5) offer accommodations not adequate for the traveler’s medical needs.  The traveler is responsible for documenting the foregoing exceptions.

                  Note that the “Fly America Act,”49 U.S.C. 40118, requires all University travelers to use United States air carriers for all air travel and cargo transportation services supported by Federal funds.  One exception to this requirement is transportation provided under a bilateral or multilateral “Open Skies” air transport agreement, to which the United States government and the government of a foreign country are parties, and which the Department of Transportation has determined meets the requirements of the Fly America Act.  More information is available at http://www.gsa.gov/portal/content/103191.

                  Travelers should make every effort to reserve airfare as soon as practicable, in order to achieve the most cost-effective fares.  Contact the University’s contracted and preferred agency or University Business Services if you have any questions on how to secure the most cost-effective airfares.  Accounts Payable reserves the right to question unreasonable airline travel costs.

                  2d. BAGGAGE FEES

                  If there is a charge for checked baggage, the cost for the first two bags checked will be reimbursed.  Additional baggage fees will only be reimbursed if the traveler provides an appropriate written business justification for the excess baggage.

                  2e. UNUSED TICKETS

                  The University will not reimburse a traveler for an unused ticket purchased by the traveler.

                  2f. Charter Air Travel for Official Travel Parties

                  Under limited circumstances, University staff and students may use a charter airplane when it supports University business, if approved by the President or Athletic Director or his or her authorized designee.

                  PART 3: GROUND TRAVEL

                  3a. GROUND VERSUS AIR TRAVEL

                  A traveler may use ground transportation (vehicle or rail) for personal reasons, even if air travel is a more time- effective mode of transportation.  Under these circumstances, the cost for the ground transportation, meals and lodging, parking, mileage, tolls, taxis, and ferries may be reimbursed as long as these costs do not exceed the cost of airfare, based on the lowest reasonable commercial fare available from a standard commercial air carrier, plus transportation costs to and from the airport.

                  3b. RAIL TRAVEL

                  The University will pay for or reimburse rail travel in accordance with this policy, even if air travel is a more time- effective mode of transportation.  Business class accommodations are available for rail journeys longer than four hours.  Travelers will not receive reimbursement for first class travel rates.

                  3c. STATE-OWNED AND STATE-FUNDED VEHICLES

                  If an employee or department has a state-owned or state-funded (i.e., an automobile allowance/stipend) vehicle, the employee or department should use the vehicle for business travel whenever possible.  Charges for tolls and parking are reimbursable.

                  For state-owned vehicles only: further information is available from the UConn Motor Pool: https://fo.uconn.edu/departments/motor-pool/.  Also, the Connecticut Department of Administrative Services provides a “Policy for Motor Vehicles Used for State Business”: https://portal.ct.gov/-/media/DAS/Fleet-Operations/DAS-GL-115.pdf?la=en.

                  For state-funded vehicles (i.e., an automobile allowance/stipend) only: when an employee uses his or her state-funded vehicle for University business, the University will reimburse the employee for their mileage, in accordance with the mileage reimbursement principles contained in this policy, at the IRS’s standard moving/medical rate, which is periodically updated and located on the Travel Services website.

                  3d. PERSONALLY OWNED VEHICLES

                  When a department authorizes an employee to use his or her personal vehicle for University business, the University will reimburse the employee at an established mileage rate, which is periodically updated and located on the Travel Services website.  Travelers will be reimbursed for trip related tolls and parking.

                  Travelers will not receive reimbursement for travel from their homes to their official duty stations, such as commuting expenses, unless provided under the applicable collective bargaining agreement.  In those limited cases where commuting expenses are reimbursed, the tax laws require that the reimbursement be treated as taxable income to the employee, and the University will withhold the appropriate taxes.

                  For the purposes of this policy, the term “official duty station” has the same meaning as his or her “tax home,” as that term is used in IRS authorities related to travel expenses.  Generally, an individual’s official duty station is his or her regular office or post of duty.  If an individual has more than one office or post of duty at the University, then the official duty station of that individual is generally the location at which the individual spends the most time.

                  When an employee’s official duty station is not a physical location at the University, or if the employee’s official duty station has changed from its original location, the employee may be eligible for travel reimbursements based on his or her official duty station if he or she first provides documentation, such as an employment letter or signed memorandum from his or her Department.  The documentation must be received by Accounts Payable before the reimbursement may be processed.

                  Travelers will not receive travel reimbursement for participation in events that are not related to their University work or activities.

                  Consistent with requirements of Connecticut State Agencies, it is the responsibility of the traveler to maintain automobile insurance in the minimum amounts of $50,000/$100,000 (third party liability) and $25,000 (property damage liability), if using his or her personal vehicle for business purposes.

                  Unless permitted by collective bargaining agreements or exception to policy, travelers will not receive reimbursement for travel on the Storrs Campus, between the Storrs and Depot Campuses, between the Storrs campus and local buildings in which University employees are housed (e.g., 28 Professional Park), or between the Storrs campus and Storrs Center.

                  3e. RENTAL VEHICLES

                  Travelers may rent vehicles from the preferred vendors (currently, Enterprise and National) for domestic travel when needed for the business trip, at the discretion of each traveler’s reporting line and/or funding source.

                  The size and class of the rented vehicle should be reasonable and appropriate for the number of intended passengers.  Travelers should only rent vehicles in the following classes: economy, compact, intermediate, standard, full size, mini-van, cargo van, and pick-up truck.  Travelers may not rent vehicles in the following classes without justification and approval from the appropriate Department Head, Director, or Dean and subject to review and approval from Accounts Payable: premium, luxury, small sport utility, or large sport utility.

                  University-contracted rental rates for preferred vendors for domestic travel already include the following insurances: collision, third party liability, and property damage liability insurances.  This coverage is required, and is available at an additional charge for international renters and young renters.  The University will not pay for or reimburse the traveler for additional insurance.  However, additional charges for GPS and roadside assistance may be reimbursed at the discretion of the Department Head, Director, or Dean subject to final review and approval by Accounts Payable.  Travelers are encouraged to obtain the authorization of their respective departments prior to incurring such additional charges.

                  Travelers are responsible for returning the vehicle with a full tank of fuel to avoid surcharges.  Travelers may not be reimbursed for the fuel service option, whereby a renter agrees to pay for a full tank of gas at a set price instead of returning the vehicle with a full tank of gas.

                  The University will not pay for penalties, fines, fees, or extra cost options not discussed above.

                  When a rental vehicle is needed for international travel, the University’s preferred agencies (currently, Enterprise and National) should be utilized to obtain the best rates.  For international travel, it is recommended that travelers maintain the minimum coverages for insurance through the rental company.

                  All efforts to secure the preferred vendor pricing for University guests are to be made by the host department.  When a guest uses a non-preferred vendor at a higher cost, a justification must be documented.  In these cases, Accounts Payable may require approval from the appropriate Department Head, Director, or Dean.

                  PART 4: LODGING

                  When overnight accommodations are required to conduct University business, reimbursement for lodging will be the actual cost of lodging at the lowest reasonable cost available, as determined by the trip’s circumstances.

                  4a. OUT-OF-STATE LODGING

                  Overnight accommodations of less than 30 consecutive nights.

                  Any lodging expense that exceeds the federal per diem lodging rate by more than fifty percent (excluding taxes) requires the approval of the Department Head, Director, or Dean, subject to final review and approval by Accounts Payable.  Federal per diem lodging rate can be found at www.gsa.gov/perdiem.

                  Exception for certain conference lodging expenses: rates for lodging provided through a conference may exceed the federal per diem rate by more than fifty percent (excluding taxes), without Department Head, Director, or Dean approval.  Travelers are encouraged to reserve conference lodging as early as practicable, and before any lodging discount offered to conference participants expires.

                  Overnight accommodations of 30 consecutive nights or more.

                  In order to secure the most cost-effective long term accommodations, when University business requires lodging for 30 consecutive nights or more, the traveler is strongly encouraged to work with the Procurement Services Department to arrange these long term accommodations.  Procurement Services will make efforts to secure long term accommodations with meal preparation facilities, which will allow the traveler the option to purchase groceries and prepare meals, generating meal cost savings.

                  4b. IN-STATE LODGING

                  Subject to prior approval from the appropriate Department Head, Director, or Dean, travelers on University business may reserve in-state lodging when the distance they are required to travel is more than 75 miles, one-way, from both their official duty station and their personal residence.  For example, if the traveler’s destination is less than 75 miles from his or her personal residence, the traveler may not reserve in-state lodging even if the mileage from the traveler’s official duty station is more than 75 miles away.

                  Travelers may reserve in-state lodging when attending a conference within the State of Connecticut, regardless of distance from official duty station.

                  4c. USE OF LOCAL HOTELS

                  The University recognizes that, from time to time, it may be important and in the best interests of the University to provide on campus or local lodging to certain individuals.  UConn encourages the use of contracted preferred hotels in the local area.

                  University Business Guests, Candidates, Recruits, and Affiliates

                  Lodging at local hotels can be provided to University business guests, such as candidates, recruits and affiliates.

                  University Employees

                  In rare circumstances, a University employee may require local lodging (within 75 miles of both official duty station and personal residence) in order to carry out his or her duties as a University employee. In these cases, the employee must receive prior approval for the stay from the Office of the President, the Provost, the Executive Vice President for Administration and Chief Financial Officer, or Athletic Director, based on the reporting relationship of the employee.  Please note such lodging will generally be taxable to the University employee.

                  4d. GROUP LODGING

                  “Group lodging” is defined, for the purposes of this policy, as the booking of 10 rooms or more for a specified University travel need.

                  Group lodging having a total cost of $10,000 or more must be arranged through University Business Services.  Business units arranging group travel in excess of $10,000 are also required to solicit competing bids from a minimum of three providers in the proximity of the travel destination.  For all other group lodging arrangements, business units are still urged, but not required, to contact the Procurement Services Department for assistance.

                  PART 5: MEALS

                  5a. MEALS FOR UNCLASSIFIED EMPLOYEES (WHILE TRAVELING)

                  Travelers belonging to one or more of the groups below may claim reimbursement for the actual cost of their meals incurred while traveling on University business (substantiated with original receipts) or they may claim reimbursement up to the meal per diem rates published by the GSA / U.S. Department of State.  Travelers may be required by their respective departments or business units to use a particular method.  For non-sponsored travel, if meal per diem is requested, the President, Provost, Executive Vice President for Administration and Chief Financial Officer, or Athletic Director (or their designee) has the authority to reduce the meal per diem rate requested.  Travelers requesting reimbursement for meals using the per diem method should not use their University Travel Card to purchase meals.

                  • AAUP
                  • UCPEA
                  • Managerial and Confidential NP Plan
                  • Managerial and Confidential
                  • UConn Non-Represented (Dining Services)
                  • Special Payroll Employees
                  • Students

                  The maximum reimbursement for actual meal costs, including tax and tips, may not exceed the daily meal per diem, based on the meal per diem rates published by the GSA / U.S. Department of State (please note that GSA and U.S. Department of State published per diem rates include both meal and incidental components.).  The meal per diem applicable to the first and last day of travel will be 75% of the full day per diem.

                  Additionally, if a meal was provided, the meal per diem is reduced by the per diem applicable to the meal provided (see Section 5d below).

                  Travelers must use one method of reimbursement for the entire trip.

                  The provisions of this section also apply generally to athletic team travel.  However, due to the special nutritional needs of the University’s athletes and the demands of their training and schedules, additional meals or per diems for student athletes, if made in accordance with NCAA rules and limits, are allowable under this policy without the need for an exception or higher level approval.

                  5b. MEALS FOR CLASSIFIED EMPLOYEES (WHILE TRAVELING)

                  By statute, employees, through their legally designated representatives, have the right to bargain with the State concerning travel expenses.  Accordingly, some collective bargaining contracts may contain provisions that vary from the reimbursement policies contained herein.  For such cases, collective bargaining contracts take precedence.  For more information about what travel rules apply under what circumstances, travelers should contact Human Resources.  Travel reimbursement rates for employees in P-2, NP-5, NP-3 and NP-2 bargaining units are found within each current bargaining unit contract at: https://hr.uconn.edu/labor-contracts-unions/.

                  Travelers in the above-referenced categories may claim reimbursement up to the amount defined in the appropriate bargaining unit contract, less any meals provided and/or any amount funded directly by the collective bargaining unit.

                  All expenses are only eligible for reimbursement based upon funding.  Departments are still allowed to request that travelers hand in receipts in order to limit expenses.

                  5c. MEAL EXPENSES FOR SINGLE-DAY TRAVEL (NO OVERNIGHT)

                  Unless otherwise provided under Collective Bargaining Agreements, travelers who are required to travel for University business without an overnight stay may be eligible for meal reimbursement if the traveler is away from his or her home and official duty station for more than ten hours and the reimbursement requests are occasional and non-routine.  Consistent with IRS guidance, such reimbursements will be treated as taxable income to the employee and will be included in the employee’s W-2 wages.

                  In these instances, the actual meal expense or per diem cannot exceed 75% of the GSA per diem rate in effect for the destination of travel.

                  5d. CONFERENCE AND OTHER MEALS PROVIDED

                  All travel related to conferences (also called seminars, workshops, retreats, conventions, etc.) must have itineraries/brochures attached to the expense report relating to the conference.  At the time of pre-approval, travelers must provide a description of the conference details, including dates and subject matter of conference.  If available, a conference brochure should be attached.  Conferences frequently provide meals to attendees as part of the registration fee.  The traveler is generally not entitled to a meal per diem allowance or actuals for meals that are provided as part of the registration fee.  The same is true for any meetings or group travel event in which a meal is provided or where the traveler has been included on a list of attendees for a business expense, or where meals are provided complimentary as part of the transportation or hotel accommodation.  See section 5a above.

                  5e. BUSINESS MEALS

                  From time to time, it is necessary to the interests of the University to host or provide meals to University guests such as job candidates, visiting scholars or donors.  Likewise, a meal may be an essential or important part of an event, such as a conference or workshop, which is conducted by the University.  All meals, other than those provided to an individual travelling on University business, must qualify as a “business meal” under the requirements of this section, in order to be provided or reimbursed by the University.

                  As a public agency, the University has an obligation to students, taxpayers and benefactors to use all of its funds as prudently as possible.  Therefore, all employees and individuals with authority to request, control or approve University funds, including but not limited to travelers, shall use their best judgment in applying those funds towards business meals only when justified with a business purpose and a clearly identifiable benefit to the University.  The act of requesting, using or approving a business meal constitutes an individual’s official determination that, to the best of such individual’s knowledge, the expense was actually incurred, is justified by a business purpose, and serves the best interests of the University.

                  The University’s policy of paying or reimbursing for business meals is subject to the following general rules:

                  1. University employees are generally responsible for paying for their own meals when they are not traveling.
                  2. University funds may not be used for meals at social functions, such as parties or summer outings, attended entirely or primarily by University employees and/or their personal guests.
                  3. The number of University-affiliated persons (employees and spouses, where appropriate) attending business events (including meals) with University guests should be limited to those essential to the University’s business
                  4. University funds may not be used to purchase alcoholic beverages.
                  5. In most cases, business meals may not be charged to sponsored awards (the responsible OVPR, SPS Grant Manager may provide more information or grant exceptions where appropriate). See section 1g.

                  See also the University’s policy re: “Use of University Funds for Gifts, Social Functions, Sponsorships & Donations.”

                  Meals between faculty/staff and students, while allowable when there is a business purpose, should be infrequent.  In addition, Departments may purchase group business meals when a group meal is essential to the effectiveness and efficiency of the meeting.  This is especially the case when multiple Departments are called together for a substantial meeting, or when stopping the meeting to allow employees to leave for a normal meal would be disruptive and inconvenient for the University.

                  For the avoidance of doubt, this policy shall extend fully to business meals that are paid for by interdepartmental transactions, such as meals purchased through Dining Services.

                  While the University does not require written pre-approval for business meals, University staff are strongly encouraged to obtain written departmental approval before incurring any business meal expenses.  Individuals who incur business meal expenses without the approval of their departments bear the risk that their expenses will not be reimbursed.

                  For all business meals, including group meals, organizers should limit attendance to essential guests only.  Without proper justification, the University will not reimburse expenses for spouses, partners or non-essential guests.  Further, the number of University-affiliated persons (employees and spouses, where appropriate) attending business events (including meals) with University guests should be limited to those essential to the University’s business.  Under no circumstances may the cost of the meal for each guest (including taxes and tip) exceed three times the appropriate GSA or U.S. Department of State Per Diem meal amount for the location.

                  For purposes of this policy, business meals shall not include refreshments, such as snacks or nonalcoholic beverages, which are made available to guests outside of the context of a meal.  Such refreshments may be provided in appropriate business contexts, provided that the cost of providing refreshments, when combined with any meals served, is less than the applicable GSA or U.S. Department of State meal rate (inclusive of incidental costs, such as set up, delivery, and service charges).  For example, refreshments provided before a morning meeting at the Storrs campus cannot exceed the allowed breakfast per diem expense.  Refreshment transactions must also be justified by a business purpose and require the attendee list, and per person breakdown before the costs may be paid or reimbursed.

                  Note that the provisions in this section shall not be construed as to supersede the provisions of any collective bargaining agreement.

                  5f. GRATUITIES

                  Meals

                  Reimbursement for actual meal gratuities will be limited to 20% of the meal cost.

                  Incidental expenses

                  Travelers using the actual expense method will be reimbursed for incidental expenses (gratuities for baggage handling, maid service, etc.) not to exceed the published GSA or U.S. Department of State Incidental Expense per diem amount.

                  Other Gratuities

                  Gratuities for other travel services, including but not limited to taxis and rideshare, are reimbursable at a rate not to exceed 20% of the cost of the service.

                  PART 6: OTHER EXPENSES

                  6a. REGISTRATION FEES

                  Travelers may use University funds to pre-pay conference registration fees.  Alternatively, travelers may be reimbursed for registration fees.  Travelers are encouraged to reserve conferences as early as practicable and in time to secure any early booking discounts.

                  Sometimes meals, hotel accommodations, or additional fees for other goods and services may be included in a registration fee.  Travelers will not be reimbursed separately for these—that is, travelers will not be reimbursed twice for the same thing.  See Sections 5d and 5e for further details on meals provided with conference registration and business meals.

                  6b. TELEPHONE, INTERNET, COMPUTER, AND FACSIMILE CHARGES WHILE TRAVELING

                  Charges for telephone calls made for University business while traveling are reimbursable, unless the employee has a University issued cell phone or cell phone stipend that includes a voice tier option.

                  Travelers may receive reimbursement for charges for internet access, use of a fax machine, use of a computer, and other similar business services while traveling on University business.  Translation charges are also eligible for reimbursement, provided however, that the traveler must additionally provide a documentation establishing the charges as having actually been paid (e.g., a credit card statement).

                  6c. FOREIGN CURRENCY RATES

                  Travelers will be reimbursed for expenses paid in foreign currencies, and for currency exchange fees, based on the exchange rate for the date marked on their receipts.

                  6d. PRESCRIPTIONS AND MEDICAL EXPENSES FOR INTERNATIONAL TRAVEL

                  When preparing to travel internationally on University business, travelers are eligible to be reimbursed for any out- of-pocket medical expenses related to the trip such as prescriptions, vaccinations, medical co-pays or additional insurance costs.

                  Policy History

                  Revisions

                  06/30/2021 Minor revisions – Approved by Board of Trustees

                  4/29/2020 Approved by Board of Trustees

                  12/1/2017 Approved by Board of Trustees

                  7/1/2015 Approved by Board of Trustees

                  11/1/2012 Approved by Board of Trustees

                  3/24/2008 Approved by Board of Trustees

                  Effort on Sponsored Program Activities, Policy on

                  January 29, 2020

                  Title: Effort on Sponsored Program Activities
                  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: January 24, 2020
                  For More Information, Contact Office of the Vice President for Research, Sponsored Program Services
                  Contact Information: 860-486-3622 (Storrs and regional campuses)

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

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

                  REASON FOR POLICY

                  Effective January 5, 2001 by Presidential Review Directive and clarification memo issued by the Office of Management and Budget (OMB) to 2 CFR Part 220 (as codified from Circular A-21) and most recently OMB Uniform Guidance 2 CFR Part 200, it is expected that “most Federally-funded research programs should have some level of committed faculty (or senior researchers) effort, paid or unpaid by the Federal government. This effort can be provided at any time within the fiscal year (summer months, academic year, or both).” The clarification memo also states that, “…Some types of research programs…do not require committed faculty effort, paid or unpaid by the Federal government…”

                  The National Institutes of Health (NIH) Grants Policy Statement asserts that “‘zero percent’ effort or ‘as needed effort’ is not an acceptable level of involvement for ‘key personnel.’”

                  The National Science Foundation revised its policy effective January 18, 2011 stating that except when required in an NSF solicitation, inclusion of voluntary committed effort cost sharing is prohibited.

                  APPLIES TO

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

                  DEFINITIONS

                  University Effort: The portion of ‘total professional effort’ that comprises one’s professional/professorial workload at UConn for which the employee is compensated.  This includes activities such as research, instruction, other sponsored activities, administration, non-sponsored/departmental research, university service, competitive proposal preparation and clinical activities.

                  Committed Effort: Any part of ‘University effort’ that is quantified and included in a sponsored program proposal and/or the subsequent award (e.g., two summer months, 12% time, one half of a year, three person-months, etc.).  This quantified effort/time is associated with the specific dollar amount of the employee’s compensation and may be in the form of:

                  Direct Charged Effort:  Any portion of ‘committed effort’ toward a sponsored activity for which the sponsor pays salary/benefits.

                  Cost Shared Effort:  Any portion of ‘committed effort’ toward a sponsored activity for which the sponsor does not pay salary/benefits, which instead are paid using other, non-federal, or UConn sources.

                  Uncommitted Effort: Any portion of ‘University effort’ devoted to a sponsored activity that is above the amount committed in the proposal and/or the subsequent award.  This ‘extra’ effort is neither pledged explicitly in the proposal, progress report or any other communication to the sponsor nor included in the award documentation as a formal commitment. This effort must be paid by non-sponsored University sources.

                  POLICY STATEMENT

                  This policy establishes the effort requirements for sponsored programs.

                  Federal Sponsored Awards:

                  Investigators are expected to propose some level of sponsor supported effort or the minimum required by the program on proposals on which they are listed as Principal Investigator, Co-Principal Investigator, Co-Investigator or other roles as required by the sponsor unless specifically exempted by the sponsor.  (Examples of exceptions to the minimum proposed effort requirement would possibly include doctoral dissertations, equipment and instrumentation grants, travel grants, and conference awards.)  If an award is accepted, these personnel are committed to providing this level of effort, either through direct charge or cost shared effort, over the annual budget period of the award unless sponsor policies permit otherwise.

                  The minimum amount of effort committed to a specific federally sponsored research activity may be no less than 1% of the employee’s ‘University effort’ during some portion of the sponsored award or the minimum amount required by the sponsor.  Notwithstanding the foregoing and in accordance with OMB Clarification Memo, at least 1% of a senior faculty (or researcher) effort must be devoted to the project throughout the life of the award.

                  Non-Federal Sponsored Awards: 

                  University of Connecticut and Regional Campuses: The University does not require a minimum amount of effort except in cases required by the sponsor. However, Principal Investigators must ensure they have time available to complete the project that does not overlap or conflict with their effort commitments to other sponsors or their University responsibilities.

                  UConn Health Campus:  The minimum amount of effort committed to a specific non-federal sponsored activity may be no less than 1% of the employee’s ‘University effort’ during some portion of the sponsored award or the minimum amount required by the sponsor.

                  All Sponsored Awards:

                  Beyond the minimum amounts specified above, the specific amount of effort committed to a particular sponsored activity is left to the judgement of the individual devoting effort to the project and the Principal Investigator/Project Director, based on his or her estimate of the effort necessary to conduct the project.

                  Prior sponsor approval for a decrease in effort must be obtained prior to a reduction in effort if and when sponsor approval is required as determined by the sponsor’s terms and conditions.

                  ROLES AND RESPONSIBILITIES

                  Principal Investigator:

                  1. The Principal Investigator is responsible for ensuring that the minimum level of effort required by this policy, 2 C.F.R. Part 200 (federal awards) and the requirements of the sponsor are met.

                  All Faculty and Investigators:

                  1. Devote time commensurate with effort on each project, ensure that the effort does not conflict with commitments to other sponsors or University responsibilities and is in accordance with University policy.

                  Department Administrators/Fiscal Officers:

                  1. Regularly review faculty/investigator effort on sponsored awards to ensure it meets with the requirements of this policy.
                  2. Inform Sponsored Program Services if effort commitments may not be met.

                  Sponsored Program Services:

                  1. Provide guidance and assistance to faculty, investigators and department administrators on this policy.
                  2. Review changes to payroll allocations (UConn Health Campus) and effort reports (University of Connecticut and Regional Campuses).

                   
                  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, applicable collective bargaining agreements, the University of Connecticut Student Code, other applicable University Policies, or as outlined in any procedures document related to this policy.

                  PROCEDURES/FORMS

                  Related Information:

                  See NSF Cost Sharing Policy Guidance

                  POLICY HISTORY

                  Policy created:

                  Approved by the President’s Cabinet on 09/12/2019. This new policy combines two previous policies at Storrs and UConn Health.

                  History: 

                  Storrs Policy, “Minimum Effort on Sponsored Program Activities”, created on 3/1/2013 and revised on 7/7/2015, as approved by the Vice President for Research

                  UCH Policy 2008-05, “Senior/Key Personnel & Committed Effort”, created on 12/16/08 and revised on 10/8/13