Cost Sharing Policy

January 29, 2020

Title: Cost Sharing
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

This policy is to meet the requirements of the Office of Management and Budget (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Uniform Guidance”) and federal agency policies and procedures. Non-federal sponsor cost share requires similar diligence to recognize the commitment and maintain appropriate documentation of its performance. Therefore, all committed cost sharing is subject to this policy.

APPLIES TO

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

DEFINITIONS

Cost sharing – the specific portion of project costs that are funded by the University rather than the sponsor in support of a sponsored program. Cost sharing represents payroll and other project costs that University and/or other project participants contribute to or match through the expenditure of funds or through in-kind contributions.

Cash contributions – a type of cost sharing that requires additional funding that can be documented in the accounting system. Examples include the purchase of a piece of equipment, or the allocation of compensated faculty or staff time, paid for by University funds.

In-kind contributions – non-cash contributions donated to the project.

Mandatory Cost Share – cost sharing required by the sponsor in order for an award to be made. Such requirements are generally incorporated in the funding opportunity announcements or solicitations, or required by federal statute and included as part of the proposal.

Voluntary Committed Cost Share – represents a cost sharing commitment made in the budget, budget justification, or identified elsewhere in the proposal that is not required by the sponsor. This type of cost sharing must be tracked and may need to be reported. Examples of this include a percentage of effort of faculty in a proposal for which compensation was not requested, or the purchase of equipment for the project for which sponsor funds have not been requested.

Voluntary Uncommitted Cost Share – represents a cost or contribution made to the project and not funded by the sponsor, which has not been identified in the proposal or in any other communication with the sponsor. This type of cost sharing does not have to be tracked or reported to a sponsor. An example is academic year effort on a project for which only summer salary was proposed.

Salary Limitation/Salary Cap – limitation imposed by the sponsor (e.g., DHHS salary cap) on the amount or rate of salary and/or of fringe benefits that can be charged to the project. Although the University may cover the difference between the limitation and the actual cost, this is not considered cost sharing and it is not tracked as cost sharing by the University.

POLICY STATEMENT

Expenditures must meet the standard terms and conditions of the award to be cost share. The costs are allowable in accordance with Uniform Guidance when they are:

  • Verifiable from the recipient’s records;
  • Not included as contributions for any other federally-assisted sponsored project or program;
  • Necessary and reasonable for proper and efficient accomplishment of project objectives;
  • Not paid by the Federal Government under another award, except where authorized by federal statute to be used for cost sharing or matching; and
  • Provided in the approved budget when required by the federal awarding agency.

The review and approval of all cost sharing is the responsibility of the unit providing the cost sharing and Sponsored Program Services. Mandatory and Voluntary Committed cost sharing must be approved prior to submission of the proposal to the sponsor, and must be in conformance with the award terms and conditions, the Uniform Guidance in the case of federally sponsored projects, federal and state law and University policy. Mandatory and Voluntary Committed cost sharing must be tracked by the University and reported to the sponsor (if required by the terms of the award).

The funding of cash cost sharing is the responsibility of the unit that has made the commitment. The PI or designee is required to report and confirm cost shared effort on Effort Reports. Records related to cost sharing must be retained for the period of time prescribed under relevant record retention policies.

Cost sharing, including the re-budgeting of direct-charged salary from a sponsored project to cost share account at UConn Health is permitted only with approval of the Department Chair, Dean, and the Office of Sponsored Program Services, or designees. When necessary, prior approval from the sponsor must also be obtained.

ROLES AND RESPONSIBILITIES

Principal Investigator:

1. Obtain approval for any mandatory and/or voluntary committed cost sharing prior to proposal submission.
2. Ensure cost sharing commitments are met.

Fiscal Officer/Department Administrator:

1. Track and monitor cost sharing commitments.

Sponsored Program Services:

1. Monitor cost sharing commitments.
2. Report on cost sharing when required by the sponsor.

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

Storrs and Regional Campuses:
Effort Reporting and Certification Policy

UConn Health:
Guidance – Cost Sharing (UCH)
NIH Salary Cap Guidelines
Budget Preparation Guidelines (UCH)
Budget Templates/Calculators (UCH)

POLICY HISTORY

Policy created:
Approved by the President’s Cabinet on 09/12/2019.  This is a new policy at Storrs and replaces a previous policy at UConn Health.

History:
UCH Policy 2002-14, “Cost Sharing/Matching Requirements”, created on 4/10/2002 and revised on 5/9/17.

Availability and Use of Opioid Antagonists, Policy on

December 12, 2019

Title: Availability and Use of Opioid Antagonists, Policy on
Policy Owner: Division of University Safety
Applies to: All Faculty, Staff, and Students
Campus Applicability: All campuses, including UConn Health
Approval Date: July 11, 2023
Effective Date: July 11, 2023
For More Information, Contact Division of University Safety
Contact Information: UConn Fire Department

860-486-4925
Official Website: https://universitysafety.uconn.edu/  

PURPOSE

To ensure compliance with Connecticut state law which requires all institutions of higher education in the state of Connecticut to develop and implement a policy concerning the availability and use of opioid antagonists by students and employees of the institution.

APPLIES TO

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

DEFINITIONS

Opioid Antagonist: As used in this policy, and consistent with state law, “opioid antagonist” means naloxone hydrochloride or any other similarly acting and equally safe drug approved by the federal Food and Drug Administration for the treatment of drug overdose.

POLICY STATEMENT

UConn is committed to maintaining a safe and substance-free environment on all its campuses. All uniformed police and fire personnel on UConn’s campuses carry and are trained to administer opioid antagonists. In addition, clinical staff in Student Health and Wellness-Medical Services, located on the Storrs campus, store, and are trained to administer opioid antagonists. Opioid antagonists are available and accessible to students and employees on all of UConn’s campuses as noted below. When an opioid antagonist is administered on any of UConn’s campuses, notification to law enforcement or a local emergency medical provider must be made by a UConn representative. Such notification is satisfied if the opioid antagonist is administered by police, fire, or other medical personnel. In all other cases, notification should be made by calling 911 prior to, during or as soon as practical after each use. It is recommended that any individual administered an opioid antagonist be transported to an emergency department for further evaluation.

The Chief of the UConn Fire Department, or the designee(s), has been designated to oversee the purchase, storage, and distribution of opioid antagonists on each of UConn’s campuses and in observance with these procedures. The supply of opioid antagonists is maintained in accordance with manufacturer’s guidelines. Faculty, staff, and students may access opioid antagonists by calling 911.

Opioid antagonists are accessible to students and employees in the following locations:

Storrs Campus

University Safety Headquarters
126 North Eagleville Road
Storrs, CT 06269
Phone Number: 860-486-4800
Storrs, CT 06269-4011

Arjona Building
337 Mansfield Road, 4th Floor
Storrs, CT 06269

Wilson Hall
626 Gilbert Road, 1st Floor
Storrs, CT 06269

UConn Student Health and Wellness
Medical Care (Students only)
Hilda May Williams Building
234 Glenbrook Road, Unit 4011
Storrs, CT 06269-4011

Cordial House
1332 Storrs Road
Storrs, CT 06269

Avery Point

Police Department
1084 Shennecossett Road
Groton, CT 06340

School of Law

Police Department
39 Elizabeth Street
Hartford, CT  06103

UConn Health

Firehouse/Police Dept
263 Farmington Avenue
Farmington, CT  06030

Hartford Campus

Police Department
10 Prospect Street
Hartford, CT  06103

Stamford Campus

Police Department
1 University Place
Stamford, CT  06901

Waterbury Campus

Police Department
99 East Main Street
Waterbury, CT  06702

To ensure that the UConn community is aware of the availability and location of opioid antagonists on campus, this policy shall be sent via the University’s Daily Digest and UConn Health Lifeline to all faculty, staff and students prior to the start of each academic semester, and posted on the websites of the Division of University Safety, Department of Human Resources and Student Health and Wellness.

PROTECTION FROM LIABILITY AND PROSECUTION

State law provides substantial protections from civil and criminal liability for individuals acting in good faith to assist persons experiencing an opioid-related drug overdose. Individuals “may, if acting with reasonable care, administer an opioid antagonist to such other person. [Such] person . . . shall not be liable for damages in a civil action or subject to criminal prosecution with respect to the administration of such opioid antagonist.” See Connecticut General Statutes § 17a-714a.

In addition, state law prohibits the prosecution of any person who seeks or receives medical assistance in “good faith” when sought for someone else based on a reasonable belief that the person needs medical attention; when a person seeks medical attention based on a reasonable belief that he or she is experiencing an overdose, and when another person reasonably believes that he or she needs medical attention. “Good faith” does not include seeking medical assistance while law enforcement officers are executing an arrest or search warrant or conducting a lawful search. See Connecticut General Statutes 21a-279, 21a-267.

PROCEDURES

1. ADMINISTRATION OF AN OPIATE ANTAGONIST

University of Connecticut uniformed firefighters and police officers, and staff at Student Health and Wellness (Shaw) will administer an opiate antagonist per the current Connecticut Statewide EMS Protocols approved and disseminated by the Connecticut Department of Public Health (CT DPH).

2. LICENSING AND CERTIFICATION

A. All uniformed firefighters and police officers are licensed or certified at the Paramedic, Emergency Medical Technician, or Emergency Medical Responder levels, and are trained in the use intranasal administration of an opiate antagonist. Firefighter/Paramedics are additionally trained in the use of intravenous and intermuscular administration of an opiate antagonist.

B. All staff at ShaW Medical Services are trained in the use of intranasal administration of an opiate antagonist.

C. Re-training and recertification are required per CT DPH guidelines.

3. ISSUANCE OF OPIATE ANTAGONIST

A. All uniformed firefighters and police officers are issued opiate antagonists that are carried while on duty.

B. Opiate antagonists are stored in designated areas at SHaW

C. The Fire Chief, or designee(s), will track and disseminate opiate antagonist to all fire and police department personnel and the SHaW Pharmacy, as a designee, will track and disseminate opiate antagonists to the designated SHaW locations for appropriate use.

D. Additional opiate antagonist is available through the University of Connecticut Fire Department (UCFD) for personnel.

4. STORAGE

A. All uniformed Firefighters and police officers shall always be required to maintain opiate antagonist on their person or in EMS kits.

    1. In accordance with manufacturer’s instruction, the opiate antagonist (e.g., intranasal or injectable naloxone) must be kept out of direct light and stored at room temperature (between 59 and 86-degrees Fahrenheit).
    2. Opiate antagonist should not be left in a vehicle for extended periods and should not be subjected to extreme temperatures, since it will freeze, and it may affect the effectiveness of the medication.
    3. In addition to opiate antagonist being stored at UCFD, additional opiate antagonist will be stored in designated locations at the University of Connecticut Student Health and Wellness.

5. REPLACEMENT

A. Replacement opiate antagonist shall be stored at the UCFD and disseminated by the Fire Chief or the designee, and replaced as needed.

    1. In the event that an opiate antagonist is expired or used, the firefighter or police officer shall notify their appropriate supervisor for immediate replacement.
    2. Additional replacement opiate antagonist can be obtained from the UCFD.
    3. The purchase of all opiate antagonist will be through the UCFD.

B. Opiate antagonist that are lost, damaged, or exposed to extreme temperatures, shall be reported to the appropriate supervisor.

RELATED INFORMATION

Department of Human Resources: https://hr.uconn.edu/opioid-epidemic/

POLICY HISTORY

Policy created: 12/11/2019 Approved by Senior Leadership

Revisions:         7/11/23 Approved by the President and Senior Policy Council

Sponsored Award Closeout

November 27, 2019

Title: Sponsored Award Closeout
Policy Owner: Office of the Vice President for Research, Sponsored Program Services
Applies to: All Faculty, Staff, and Students
Campus Applicability: All campuses
Effective Date: November 25, 2019
For More Information, Contact Office of the Vice President for Research, Sponsored Program Services
Contact Information: 860-486-3622 (Storrs and regional campuses)

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

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

REASON FOR POLICY

To ensure the thorough review of financial transactions in addition to other compliance requirements in accordance with the terms and conditions of the award prior to sponsored project closeout.  Unless stated otherwise by the terms and conditions of the Notice of Award, all applicable grant closeout reports are due no later than 120 days after the project end date. Failure to submit timely and accurate closeout documents may affect future funding to the University.

APPLIES TO

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

DEFINITIONS

Closeout – The act of completing all internal procedures and sponsor requirements to terminate or complete a research project.

Progress/Technical Report – A technical description of the project results and additional information as required by the sponsor.  Additional information requested can include an abstract and a list of publications, patents, patent applications, and / or presentations at scientific meetings.

Final Financial Report/Invoice – Final report or invoice reflecting a summary of all transactions on an award.

Invention Statement – Document detailing all inventions conceived or first reduced to practice during the course of the project under the award and the inventing party.

POLICY STATEMENT

Prior to the closeout of a sponsored award, all applicable administrative actions and all required work of the sponsored award must be completed, including but not limited to financial reports, performance reports and deliverables as required by the terms and conditions of the sponsored award.  Note that final payment on an award may be contingent on the receipt of non-financial reports.

Responsibility for ensuring compliance with sponsored awards’ terms and conditions is shared between Sponsored Program Services (SPS), Principal Investigators (PI) and the fiscal officer/department administrator. The PI is responsible and accountable for the management and administration of his/her award within the constraints imposed by the sponsor and in accordance with University policy. The University is legally and financially responsible and accountable to the sponsor for the performance and proper use of funds for the award, and relies on the oversight of the PI in fulfilling its stewardship role. SPS will issue final financial reports to the sponsoring agency upon receipt of the approval of expenditures from the PI and/or designee.

All costs charged to a sponsored award must be in conformance with the award terms and conditions, the Uniform Guidance in the case of federally sponsored awards, federal and state law and University policy. Funds may not be obligated after the termination date of the sponsored award and all costs incurred on the award must benefit the award during the projects period of performance in accordance with the sponsoring award notice.

SPS has the authority to transfer unallowable costs, non-reimbursed expenditures or other disallowances as determined by the sponsor or the University under the terms of the sponsored award to an unrestricted account.

ROLES AND RESPONSIBILITIES

Principal Investigator:

  1. Ensures that any purchase orders for equipment, supplies or other materials, or services are executed prior to the end of the award performance period;
  2. Prior to the submission of the closeout financial report and within the required timeframe, reviews and approves expenditures to ensure they are allowable and allocable to the project. Further,  any required adjustments to expenses are posted in compliance with closeout policies and procedures;
  3. In collaboration with SPS, prepares and submits all required programmatic reports, which may include progress/technical reports and invention statements;
  4. Works with SPS to confirm final disposition of equipment purchased on the award in accordance with sponsor award notice;
  5. In collaboration with SPS, reviews the reported effort of key personnel to ensure agreement with the effort committed to the sponsor agency and addresses variances; and
  6. Ensure all other areas of compliance including but not limited to disposition of research animals, human subject information/records and protocols and disposition of hazardous materials are addressed in accordance with Federal, State, local and institutional regulations.

Fiscal Officer/Department Administrator:

  1. Monitors the costs charged to sponsored awards in accordance the terms and conditions of the award, relevant federal and state regulations and University policy.
  2. Ensures any outstanding vendor/subcontract invoices and any other subcontract obligations are approved and processed;
  3. Confirms final award expenditures; and
  4. Works with SPS and the PI to resolve any outstanding issues related to closeout.

Sponsored Program Services:

  1. Reviews charges made to accounts to ensure appropriateness;
  2. Reconciles Facilities and Administrative costs (F&A) charged to accounts and makes any necessary adjustments;
  3. In collaboration with the PI and Fiscal Officer/ Department Administrator may review the reported effort of key personnel to ensure agreement with the paid and committed effort reported to the sponsoring agency and addresses variances;
  4. Prepares and submits final financial information to the PI for review and approval;
  5. Ensures that financial reports and invoices are issued in a timely manner in accordance with sponsor requirements;
  6. Prepares and submits final Inventions/patent/property reports;
  7. Prepares and submits other non-financial reporting (e.g., Release and Assignment of Refunds, Rebates, Credits & Other Amounts forms); and
  8. Performs final review of account to ensure all pending action items (encumbrances, cash receipts, etc.) are completed and closes the account in the financial system.

ENFORCEMENT

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

PROCEDURES/FORMS

Storrs and Regional Campuses:

Guidance – Award Management (Storrs and Regional Campuses)

UConn Health:

Guidance – Award Management (UCH)

Related

Sponsored Project Expenditures: Approval and Monitoring Policy (Storrs and Regional Campuses)

Policy on Effort Reporting and Certification (All Campuses)

Policy 2002-08:  Effort Reporting (UCH)

Policy 2002-21:  Interim and Final Financial Reports (UCH)

POLICY HISTORY

Policy created: Approved by the Board of Trustees on 12/11/2019.

 

Governing and Cost Accounting Standards

November 14, 2019

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

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

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

REASON FOR POLICY

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

APPLIES TO

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

POLICY STATEMENT

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

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

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

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

Uniform Guidance (2 CFR Part 200)

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

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

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

Cost Accounting Standards (48 CFR 9905)

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

CAS 501 – Consistency in Estimating, Accumulating and Reporting Costs

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

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

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

CAS 505 – Accounting for Unallowable Costs

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

CAS 506 – Cost Accounting Period

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

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

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

ROLES AND RESPONSIBILITIES

Principal Investigator

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

Department or Shared Services Fiscal Officer/ Administrator

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

Sponsored Program Services

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

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

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

ENFORCEMENT

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

PROCEDURES/FORMS/OTHER POLICY

UConn Storrs and Regional Campuses:

Disclosure Statement (DS-2)

Cost Accounting Disclosure-1 Direct/Indirect

UConn Health:

Policy on Sponsored Project Expenditures: Approval and Monitoring

UCH Policy 2002-05: Unallowable Costs/Administrative Costs

Disclosure Statement (DS-2)

POLICY HISTORY

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

History:                

Miscellaneous guidance at Storrs and regional campuses

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

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

 

Student Discipline, Dismissal and Appeal Process from Professional/Clinical Programs, Procedures on

August 27, 2019

Title: Student Discipline, Dismissal and Appeal Process from Professional/Clinical Programs, Procedures on

Procedures Owner: Office of the Provost

Responsible Office: Academic Programs with Professional/Clinical Programs

Effective Date: September 1, 2019

Contact Information: Provost’s Office; 860 486-4037

Official Website: http://www.provost.uconn.edu


Purpose: To define a fair and uniform process for disciplining or dismissing students from professional/clinical programs based on failure to adhere to professional standards of conduct.

Procedures Statement: Each professional school or program maintains its own professional standards of conduct. These standards of conduct are often developed in accordance with stated norms for professional conduct, whether as required by accrediting bodies or otherwise.  Each program’s professional standards of conduct should be clearly stated in the student handbook. A student’s failure to adhere to those standards may result in discipline, including and up to, dismissal from the program.

Applicability:  These procedures apply to each professional school or program at Storrs and Regional Campuses, except those falling under the purview of the Graduate School.  Graduate programs falling under the purview of the Graduate school should follow the Graduate School’s procedures.  See https://grad.uconn.edu/policy/.

ALLEGED VIOLATIONS OF PROFESSIONAL STANDARDS OF CONDUCT

Any student believed to have violated one or more of a program’s professional standards of conduct shall be provided a written description of the alleged violation(s), with a copy to the Dean and program director, or designees. The written notice need only have sufficient detail to inform the student of the alleged violation(s), the provisions of the professional standards believed to have been violated and the potential consequences to the student.[1] Such notice will be made by email to the student’s official University email address and shall be deemed received by the student on the day it was sent.

Any student who has been suspended or removed from a clinical placement as a result of the alleged violation(s) risks being unable to complete the clinical component of their current course within the required timeframe and receiving a failing grade. Such students are strongly encouraged to respond as quickly as possible to ensure a timely resolution, increase the student’s chances for securing an alternative clinical placement and, in turn, complete the clinical component within the required timeframe.

The student shall have five business days to respond in writing to the notice of violation(s) and request a conference to review the alleged violations.

The Program Director or individual in an equivalent position shall conference with the student as soon as is practicable, but not more than ten business days of receipt of the student’s response. A student may, at their own risk, request additional time to schedule a conference.

Failure to Respond or Conference: If the student fails to respond or participate in conference within 15 business days of the notice being received, the Program Director or individual in an equivalent position shall determine and impose disciplinary action without need for a hearing. In such cases, the student has no right to appeal. The 15 business day time limit shall be extended if a request for additional time is granted.

Conference: Program Director will review the professional standards alleged to have been violated with the student and the disciplinary action deemed appropriate to impose in response to the violation(s).  The student may consult with a present support person, but that person may not actively participate in the conference. A student should choose a support person whose schedule allows for their participation in the conference because delays will not be allowed due to the scheduling conflicts of a support person. At the conclusion of the conference, the student shall:

  1. Sign an acknowledgment stating that the student committed the alleged violation(s) and agrees with the imposed disciplinary action. In such cases the discipline shall be imposed without need for a hearing and the student has no right to appeal.

or

  1. Contest the alleged violations and/or associated discipline. In such cases, the Program Director will schedule a hearing as soon as is practicable but not more than ten business days of conferring with the student. The Program Director may extend the time in which to hold a hearing based on extenuating circumstances. The student will be notified of the date, time and location of the hearing via university email.

HEARING

A hearing body shall be assembled by the School, College, Department, or Program, as appropriate. The hearing body shall consist of one or more University employees that were not directly involved in the incident(s) from which the alleged violation(s) arose. In the event that the hearing body consists of more than one employee, a chairperson for the hearing body shall be appointed.

The purpose of the hearing is to allow for a fair and impartial review of the information to determine whether the student has violated one or more of the program’s professional standards of conduct and, if so, the appropriate discipline that should be imposed.  Hearings should be conducted in private. The hearing is not a court proceeding and the hearing body is not bound by rules of evidence.

The student shall have the right to:

  • Propose witnesses. At least two business days in advance of the hearing, the student should provide the hearing body’s designee with a list of names and a brief summary of the information expected to be presented by each witness. It is the responsibility of the student to notify the witnesses of the date, time and location of the hearing.  The hearing body chair has the discretion to limit the number of witnesses who may appear before the hearing body (for example, due to relevancy, redundancy, etc.), but in exercising that discretion must allow for a fair and impartial review of the allegations.
  • Submit written or other information for the hearing body’s consideration. At least two business days in advance of the hearing, the student should submit to the hearing body’s designee any documentary or other evidence that the student wishes the hearing board to consider. Absent exceptional circumstances, the hearing body will not consider information submitted beyond this deadline.
  • Be notified within two business days of the hearing of the identity of any witnesses who have been called by the hearing body to present information during the hearing.
  • Be provided copies within two business days of the hearing of any written or other information the hearing body intends to consider at the hearing, when such information is known to the hearing body prior to the commencement of the hearing, including any prior conduct history of the student that may be considered for the purpose of determining the appropriate discipline.
  • Be accompanied by a support person. The student may consult the support person, but that person may not actively participate in the hearing. A student should choose a support person whose schedule allows attendance at the scheduled date and time for the hearing because delays will not be allowed due to the scheduling conflicts of a support person.

      After hearing from the witnesses and considering all other information presented to the hearing body, the hearing body shall deliberate.  A decision by the hearing body that a student has violated one or more professional standards must be based on a preponderance of the evidence (i.e. it is more likely than not that the student violated the standard(s)).

      The hearing body shall notify the student in writing of its decision within five business days of the hearing.  The notice shall contain sufficient detail to explain the basis of the hearing body’s decision. In deciding upon discipline, the hearing body may consider prior conduct history of the student. Such notice will be made by email to the student’s official University email address and deemed received by the student on the day it was sent.

      Appeal Procedures

      The decision of the hearing body may be appealed by the student to the program’s Dean or designee. Any such appeal must be made in writing within five business days of the student’s receipt of the written decision. The sole grounds for appeal are:

      • A claim of error in the hearing procedures that substantially affected the decision;
      • A claim of new information material to the matter that was not known and could not reasonably have been known at the time of the hearing;
      • On a claim of substantive error arising from misinterpretation of information presented at the hearing.

      The student’s appeal must identify at least one of the three grounds for review and provide sufficient detail to understand the basis for the request. Mere disagreement with the hearing body’s decision is not sufficient grounds for appeal.

      Within five business days of receipt of the appeal, student will be notified of the decision on the appeal, which may include:

      • Upholding the decision of the hearing body
      • Reversal of the hearing body’s decision
      • Modification of the discipline
      • Remand to the hearing body if the Dean/designee deems necessary to consider new information or to correct an error in the hearing procedure

      The decision of the appellate body is final.

      In addition, students are subject to the Student Code (https://community.uconn.edu/the-student-code-preamble/). Any suspected violations of the Student Code will be reported to the Office of Community Standards.

      Undergraduate students in professional/clinical programs: Undergraduate students dismissed from a clinical or professional program are not necessarily dismissed from the University.

      Post-baccalaureate/certificate programs: Typically, students dismissed from post-baccalaureate (e.g. Certificate) programs that do not fall under the purview of Graduate School are de facto dismissed from the University.

       

      [1] All proceedings and timeframes herein may be suspended at the discretion of the Program Director during the pendency of any investigation or proceeding undertaken by the Office of Community Standards related to the same conduct.  Following resolution of any the student code matter, the Program Director may elect to proceed under these procedures.

      Information and Communication Technology (ICT) Accessibility Policy

      August 2, 2019

      Title: Information and Communication Technology (ICT) Accessibility Policy
      Policy Owner: Information Technology Services
      Applies to: Faculty, Staff, Students
      Campus Applicability: Storrs and Regional Campuses
      Effective Date: July 24, 2019
      For More Information, Contact Information Technology Services-IT Accessibility Coordinator
      Contact Information: itaccessibility@uconn.edu; (860) 486-9193
      Official Website: accessibility.its.uconn.edu

      Background and Reason for the Policy: The University of Connecticut is committed to accessibility of its digital information, communication, content, and technology for people with disabilities, in accordance with federal and state laws including the Americans with Disabilities Act, Section 504 of the Rehabilitation Act of 1973, and the State of Connecticut’s Universal Website Accessibility Policy for State Websites.

      Policy Purpose: The purpose of this policy is to set expectations that digital information, communication, content, and technology be designed, developed, and procured to be accessible to people with disabilities.

      Policy Applicability: This policy extends to the procurement, development, implementation, and ongoing maintenance of the University’s information and communication technologies at Storrs and Regional Campuses.

      Policy Statement: The University of Connecticut is committed to achieving equal opportunity to its educational and administrative services, programs, and activities in accordance with federal and state law.  Providing an accessible information, communication, content, and technology experience for people with disabilities is the responsibility of all University administrators, faculty, staff, students and those who maintain externally facing University websites.

      Procedures: See Procedures (https://accessibility.its.uconn.edu/ict-policy-procedures/).  Any issues or questions should be addressed to ITAccessibility@uconn.edu.

      Exceptions: Requests for exceptions to this policy must be submitted to the IT Accessibility Coordinator. Individuals requesting an exception must provide a plan that would provide equally effective alternative access, unless such an alternative is not possible due to technological constraints or if the intended purpose of the technology (e.g., virtual reality goggles) at issue does not allow for an alternative

      Policy History:

      Adopted 07/24/2019 [Approved by the President’s Cabinet]

      Leave Benefits for Managerial and Confidential Exempt Employees

      July 23, 2019

      Title: Leave Benefits for Managerial and Confidential Employees
      Policy Owner: Human Resources
      Applies to: Management and Confidential Staff
      Campus Applicability: All Campuses (Storrs, Regionals, Law), excluding UConn Health
      Approval Date May 10, 2024
      Effective Date July 1, 2024
      For More Information Contact Human Resources
      Contact Information: (860) 486-3034
      Official Website https://www.hr.uconn.edu/

      PURPOSE

      To establish leave benefits for managerial and confidential exempt employees of the University.

      APPLIES TO

      This policy applies to managerial and confidential exempt employees, including non-represented faculty with an academic title. Non-represented faculty at the School of Law follow the By-Laws of the University of Connecticut and the Faculty Medical Leave Guidelines and are therefore excluded from all leave and compensatory time provisions of this policy.

      POLICY STATEMENT

      Vacation, personal, and sick time granted and accrued are prorated based on percentage employed.

      Vacation

      Each full-time employee shall accrue twenty-two (22) days of paid vacation leave in each calendar year. Vacation is accrued monthly during the time of an appointment. It is expected that vacation will be taken within the year in which it is accrued. It is recognized that circumstances may arise that limit an employee’s ability to use all vacation time in any given year. Employees may carry over vacation days from year-to-year to a maximum of one hundred twenty (120) days, consistent with the State of Connecticut’s vacation accrual cap.

      Upon leaving state service or transferring to a position that does not have a vacation leave benefit, an employee shall be paid for their accrued vacation time up to a maximum of sixty (60) days.

      Employees are not eligible for vacation accruals when more than 5 days (40 hours) are unpaid leave in a month.

      Holidays

      Employees receive thirteen (13) paid state holidays. Holidays, which do not conflict with operational needs, as appropriate, may be taken as a day off with pay.  Employees required to work on a holiday earn compensatory time for all hours worked. Holiday compensatory time is earned and recorded on an employee’s time and attendance record.

      Upon leaving state service or transferring to a position that does not have a compensatory time benefit, an employee shall be paid for their unexpired compensatory holiday time.

      Holiday compensatory time must be used by the end of the calendar year following the year in which it was earned. For example, an employee who earns holiday compensatory time for working on a holiday in Year 1 must use that holiday compensatory time before the close of Year 2, the next calendar year.

      Personal

      Each full-time employee shall be awarded personal leave of three (3) days at the beginning of each fiscal year, July 1. Personal leave is not accrued and must be used in the fiscal year in which it was granted.  Personal leave time not used within the fiscal year will be forfeited.

      Sick[1]

      Employees are granted sick leave of fifteen (15) workdays at the beginning of each fiscal year, July 1. Sick leave is treated “as if accrued,” and is available for use by such employees for personal illness, personal medical appointments, and other provisions outlined within this policy. Any sick leave not utilized in a fiscal year will continue to be available “as if accrued” for use by the employee during their tenure at the University. “As if accrued” sick leave shall not be paid out to an employee upon departure or retirement from the University. Employees may also use “as if accrued” sick leave balances for family medical illness or appointments and funeral leave, consistent with the yearly limits of this policy.

      Funeral

      Funeral leave of up to five (5) days of sick leave per occurrence may be used for a death in the immediate family. Immediate family means husband, wife, mother, mother-in-law, father, father-in-law, brother, brother-in-law, sister, sister-in-law, child and any relative domiciled in the employee’s household. Funeral leave of up to one (1) day of sick leave per occurrence may be used for a death outside of the immediate family.

      Sick Family

      Sick leave of up to ten (10) days may be used for the illness of one’s spouse, child, or parent. Child means biological, foster, adopted, or stepchild. Parent means mother, father, mother-in-law, or father-in-law of the employee.

      Donating Time

      Managerial and confidential employees may donate accrued vacation, personal, or holiday compensatory time to another non-represented managerial or confidential employee who is absent due to a long-term illness or injury. The absent employee must have exhausted all paid leave time and be on leave without pay status to be eligible for such donation.

      Overtime Compensatory Time

      Confidential employees who are non-exempt, as defined in the Fair Labor Standards Act, earn time-and-a-half compensatory time for working above 40 hours per week. Compensatory time shall be paid in accordance with the applicable provisions of the UCPEA contract.

      Confidential employees who are FLSA exempt may earn straight-time compensatory time in special situations that have been explicitly defined and approved in writing by senior leadership. Employees shall be paid for any unused compensatory time on the same schedule as UCPEA.

      ENFORCEMENT

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

      PROCEDURES/FORMS

      Contact HR regarding the process of donating time.

      POLICY HISTORY

      Policy Created: 06/25/2019 (Approved by HR Governance Group)

      Revisions: 05/10/2024 (Senior Policy Council)

      [1] The use of Sick leave and the “as if accrued” sick leave balances may be altered beyond the scope and provisions of this policy in accordance with the University’s interpretation of the Family and Medical Leave Act.

      UConn’s NAGPRA Procedure

      April 24, 2019

      University of Connecticut NAGPRA Procedures:

      The Provost will designate one or more persons at the University to help administer the University’s compliance obligations under NAGPRA.  That person(s) is referred to as the “NAGPRA Coordinator(s)” for purposes of these procedures. The NAGPRA Coordinator will be responsible for working in close consultation with lineal descendants and Native American and Native Hawaiian organizations in identifying any Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony that are maintained by the University, and on determinations of cultural affiliation and repatriation of Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony, that are part of the University’s collections.

      NAGPRA Review Group

      The Provost will establish a NAGPRA review group to assist the NAGPRA Coordinator in the administration of the University’s compliance obligations under NAGPRA and to report recommendations on cultural affiliation and repatriation to the Provost.  This review group will be chaired by an appointee designated by the Provost and will include the State Archaeologist, members from the Department of Anthropology and the Connecticut State Museum of Natural History and other offices at the University who maintain human remains, funerary objects, sacred objects, or objects of cultural patrimony.  The representatives of the review committee will be responsible for communicating and involving the departments, museums and other University offices they represent on matters relating to the University’s compliance obligations under NAGPRA.

      Use of Human Remains in Teaching and Research

      The NAGPRA review group must be notified of any teaching or research being conducted at the University or by faculty or staff from the University that involves the use of Native American or Native Hawaiian human remains.

      NAGPRA Collections

      The NAGPRA Coordinator will work with the NAGPRA review group and departments, museums and other University offices to help maintain a centralized record of all Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University, such record will include the location(s) of the relevant items and any NAGPRA-related reports or communications relating to such items.

      NAGPRA Reporting & Process Initiation

      The NAGPRA Coordinator will inform the NAGPRA review group and the Provost upon becoming aware of any Native American and Native Hawaiian human remains and cultural items maintained by the University that were not previously reported under NAGPRA.  The NAGPRA Coordinator will initiate a NAGPRA process for any Native American and Native Hawaiian human remains and cultural items maintained by the University.  This will include consulting with lineal descendants and Native American and Native Hawaiian organizations prior to making any recommendation as to cultural affiliation or repatriation.  The NAGPRA Coordinator must consult with the NAGPRA review group and the Provost’s office prior to completing a summary or inventory under NAGPRA.

      Cultural Affiliation Recommendations

      The NAGPRA Coordinator will make a proposed recommendation of cultural affiliation, when appropriate, for any Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University to the NAGPRA review group.  The NAGPRA review group will review and evaluate such recommendations.

      The chair of the NAGPRA review group will submit a proposed recommendation of cultural affiliation, reflecting the initial recommendation provided by the NAGPRA Coordinator and the comments of the NAGPRA review group, to the Provost.  The Provost is the only University official authorized to make determinations of cultural affiliation under NAGPRA with respect to Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University.

      Repatriation Recommendations

      The NAGPRA Coordinator will be responsible for identifying appropriate claimant(s) and making a proposed recommendation of repatriation, when appropriate, for any Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University to the NAGPRA review group.  The NAGPRA review group will review and evaluate such recommendations.

      The chair of the NAGPRA review group will submit a proposed recommendation of repatriation, reflecting the initial recommendation provided by the NAGPRA Coordinator and the comments of the NAGPRA review group, to the Provost.  The Provost is the only University official authorized to make a recommendation of repatriation under NAGPRA with respect to Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony maintained by the University.

      Native American Graves Protection and Repatriation Act (NAGPRA) Policy

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

      Reason for Policy:

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

      Applies to:

      Faculty, Staff, Others

      Definitions:

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

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

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

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

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

      Policy Statement:

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

      NAGPRA requires that the University follow a process for reporting information relating to Native American and Native Hawaiian human remains, funerary objects, sacred objects, and objects of cultural patrimony, that are part of the University’s collections.

      NAGPRA also requires that the University notify and consult with lineal descendants and Native American and Native Hawaiian organizations on human remains, funerary objects, sacred objects, and objects of cultural patrimony.

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

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

      Procedures:

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

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

      Enforcement:

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

      Related Information:

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

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

      Policy History:

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

      By-Laws of the Graduate School

      November 21, 2018

      Title: By-Laws of the Graduate School
      Policy Owner: The Graduate School
      Applies to: All Certificate and Graduate Degree Programs
      Campus Applicability: All Campuses
      Effective Date: 11/16/2019
      For More Information, Contact Vice Provost for Graduate Education and Dean of The Graduate School
      Contact Information: graduatedean@uconn.edu
      Official Website: https://grad.uconn.edu

      The Graduate Faculty Council By-Laws, Rules, and Regulations are available for download as a PDF