Network Access Policy

August 30, 2021

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]

      Travel and Entertainment Policy

      April 29, 2020

      Title: Travel and Entertainment Policy
      Policy Owner: Executive Vice President for Finance and Chief Financial Officer
      Applies to: University Workforce Members, Students, and Guests
      Campus Applicability: All UConn Campuses, except UConn Health
      Approval Date: November 19, 2025
      Effective Date: February 1, 2026
      For More Information, Contact: Associate Vice President for Financial Operations and Controller
      Contact Information: travel@uconn.edu
      Official Website: https://travel.uconn.edu/

      BACKGROUND
      PURPOSE
      APPLIES TO
      DEFINITIONS
      POLICY STATEMENT

      ENFORCEMENT
      PROCEDURES/APPENDICES
      REFERENCES
      POLICY HISTORY

      BACKGROUND

      The University of Connecticut (University) recognizes and supports the need of members of its community to travel for conferences, events, and other purposes in support of and consistent with the University’s mission. The University may also find it important to host guests for similar purposes. This policy addresses the most common aspects of University Business Travel and entertainment.

      PURPOSE

      To establish rules that balance the University’s Business Travel and entertainment needs with the responsible stewardship of public resources, and to make employees and approvers aware of their respective obligations in incurring, seeking reimbursement for and approving travel and/or entertainment expenses.

      APPLIES TO

      University Workforce Members, students and guests, including but not limited to recruits and job candidates.

      DEFINITIONS

      Approver: An individual designated to review and/or authorize Business Travel and associated expenses, in compliance with University policies and procedures. See Appendix 1 Roles and Responsibilities for further details.

      Business Expense (“Travel Expenses”)

      Business Expenses (“Travel Expenses”) meet the following criteria:

      • Reasonable Expenses: Costs that a prudent person would incur under similar circumstances. They should not be excessive or extravagant and must reflect fair market value.
      • Necessary Expenses: Costs essential to conducting official University business. They must directly support the University’s objectives and be indispensable for the completion of a specific task or duty.
      • Appropriate Expenses: Costs suitable and fitting for the context of the business activity. They should align with the University’s mission and adhere to its policies and ethical standards.

      Business Travel: Travel or entertainment undertaken for activities directly related to official University business.

      Local Lodging: Defined as accommodations less than 75 miles from the closer of home or work.

      Long-Term Business Travel: Travel lasting 30 or more consecutive days in length in a single location.

      Official Duty Station: An employee’s primary work site or post of duty. For employees with multiple work sites or posts of duty, the Official Duty Station is the location where the employee is expected to perform the majority of their work. The Official Duty Station does not include a remote work site.

      Reimbursement: The repayment of allowable, properly documented out-of-pocket or Travel Card expenses associated with approved Business Travel.

      Travel Card: A University-issued credit card used to pay for authorized travel-related expenses incurred during official University business.

      Traveler: Anyone traveling on behalf of the University including University Workforce Members, students, guests, recruits and job candidates.

      Senior Institutional Official: The appropriate University officer, including the President, Provost, or the Executive Vice President for Finance and Chief Financial Officer, who has authority and responsibility for the area or activity to which the policy applies.

      University Workforce Members: 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

      The University reimburses Travel Expenses incurred for official University business when properly authorized and documented pursuant to applicable University policies and procedures, the rules applicable to accountable plans under the Treasury Regulations and, for certain independent contractors, the rules applicable under the Internal Revenue Code. All such expenses must comply with the requirements outlined in this policy and the associated Travel and Entertainment Procedures (“Procedures”).

      Workforce members may be subject to additional or differing travel and entertainment requirements under a collective bargaining agreement (CBA) or provisions in their employment agreement. In the event of a conflict between this policy and an applicable CBA or employment agreement, the CBA or employment agreement shall control.

      PRE-TRIP

      Pre-Approval

      Travel requiring airfare or lodging must be pre-approved prior to the start of the trip. Airfare and Lodging expenses incurred without prior approval may not be reimbursed. Please see Procedures for more information on required levels of approval. Approvers must verify that the requested travel meets the criteria of Business Travel, as defined.

      All travel related to conferences (i.e., seminars, workshops, retreats, conventions, etc.) must have supporting evidence of the description of the conference, its location and the dates attached to the Concur Request and Expense report relating to the conference.

      The decision to reimburse a Traveler for expenses that required pre-approval but was not obtained will be at the sole discretion of Senior Institutional Officials.

      Travel Advances

      • Advances are only provided for international travel or special cases where a credit card cannot be used, subject to eligibility.
      • Advance requests are limited to 75% of estimated expenses and must exceed $500.

      International Travel

      While the University supports international travel to strengthen the University’s partnerships in education and research, certain federal regulations must be followed and steps taken to support a compliant trip. Requirements include, but are not limited to, obtaining prior approval for any Business Travel to a sanctioned country. Failure to obtain prior authorization for activities subject to export control or sanction regulations may result in serious personal liability and dis-allowance of charges by the University.

      ELIGIBLE BUSINESS EXPENSES

      The following Travel Expenses are eligible for reimbursement or to be incurred on a Travel Card. Unless otherwise stated, Travelers must select the lowest price that meets the Business Travel needs. Refer to the Procedures for additional details.

      General Trip Requirements

      Eligible reimbursements will only be made to the Traveler who incurred the expense(s).

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

      Receipts are required for expenses exceeding:

      • $50 when using a University Issued Travel Card.
      • $25 when using personal funds (out of pocket expense)

      Travelers may incur reimbursable expenses before and after actual business dates, defined as travel days.  The eligibility of allowable expenses depends on the one-way flight time excluding layovers.

      Preceding business start date:

      • If the duration of the departure flight is less than (8) hours, Travelers may claim expenses the day immediately preceding the start of University business.
      • If the duration of the departure flight exceeds eight (8) hours, Travelers may claim travel-related expenses (e.g., meal per diem, parking, etc.) for up to three (3) days immediately preceding the start of official University business. However, reimbursement will be limited to a maximum of two (2) nights of lodging at the business location.

      After the conclusion of business, Travelers may claim related expenses for one (1) travel day following the conclusion of University business.

      Long-Term Business Travel

      Long-Term Business Travel requests must include a detailed description that explains its necessity to conduct University business.

      • Travelers may choose cost-effective, self-catering accommodations (i.e., kitchen included) in lieu of standard lodging. Self-catering accommodations are limited to studio or one-bedroom units with costs that do not exceed 50% of federal per diem and is comparable to standard lodging in the area.
      • The University provides meal per diems for Long-Term Travel for a maximum of 30 days at 50% of federal per diem. Requests for exceptions must detail applicable extenuating circumstances and be submitted by the Traveler in Concur at least 10 days prior to the trip.

      Accompanying Individuals

      • In rare circumstances, the Travel Expenses of a spouse, partner, immediate family member or dependent (“accompanying individual”) may be eligible for reimbursement if the presence of the accompanying individual serves an essential business function.
      • The accompanying individual must have a defined, documented, and pre-approved official role that is essential to University business. A detailed justification specifying the official role of the accompanying individual and supporting documentation, such as event programs or correspondence verifying their official role, must be submitted for approval to a Senior Institutional Official prior to travel.
      • Expenses incurred without the required documentation or prior approval will not be reimbursed, and the Traveler may be held personally responsible for such expenses.

      Combined Business and Personal Travel

      Travelers may combine personal travel with approved Business Travel subject to the following requirements and only when authorized in advance by an Approver.

      1. When weekends, holidays, or necessary standby days fall between Business Travel days, the University may reimburse lodging and meal expenses only if the Traveler demonstrates cost savings to the University. The determination of cost-savings is made by the University, not the Traveler.
      2. Travelers who choose to arrive early or extend their stay for non-business reasons are responsible for all expenses incurred for personal days, including additional airfare expenses due to an additional flight leg or different airport from the business location related to personal travel.

      Travelers must clearly document personal travel and separate eligible Travel Expenses from personal expenses.

      Transportation

      Air Travel

      University Workforce Members and students should 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. First class air travel and seat upgrades such as Comfort or Economy Plus are not reimbursable. If free seat selection is not available at time of booking, then Reimbursement for seat selection fees up to $50 per leg is allowed. Baggage fees for up to two checked bags are reimbursable. Overweight baggage fees are not allowed.

      • Employees and students must use Concur or the University’s preferred travel agency to book airfare when arranging travel for themselves, guests, or suppliers.
      • Guests and suppliers are strongly encouraged to have the University book their travel through Concur or the University’s preferred agency.
      • Travelers are required to park at airport economy lots. Central garage parking is not permitted.

      Airfare Class

      Business class is not allowed. Economy upgrades (i.e., Economy Plus, Comfort plus, etc.) are allowed for international flights where the total flight duration one way, excluding layovers, exceeds eight hours.

      Sponsored Program Air Travel

      Sponsors have specific rules for the reimbursement of airfare, including:

      Upgraded class airfare (i.e., Economy Plus, Comfort Plus, etc.) may not be charged to a federal sponsored award even in the case of international flights, and the cost in excess of the basic least expensive airfare, for purposes herein referred to as “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 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.

      Ground Travel

      Personal Vehicles

      Mileage Reimbursement is based on the standard IRS rate and excludes normal commutes between the Traveler’s home and their Official Duty Station when traveling during the work week.

      • Travelers will not receive Reimbursement for travel from their home to their Official Duty Stations or commuting expenses between local Storrs Campuses
      • Travelers will be reimbursed for travel between regional campuses, less their normal commute to their Official Duty Station. This does not include employees that have more than one Official Duty Station e.g., employees that are required to work at UConn and UConn Health.
      • Tolls and parking fees are reimbursable.

      Rental Cars

      • Employees and students must use Concur or the University’s preferred travel agency to book rental cars when arranging travel for themselves, guests, or suppliers
      • Guests and suppliers are strongly encouraged to have the University book their travel through Concur or the University’s preferred agency
      • Travelers must reserve an appropriately sized class of vehicle for the number of passengers.
      • Prepaid fuel is not reimbursable. Post paid fuel service (i.e., charged after rental) is reimbursable if using the University’s preferred rental car supplier.
      • Additional insurance and upgrades (e.g., GPS, roadside assistance) are not reimbursable.
        • If there are no cars available from UConn’s preferred car rental agency, then additional insurance is reimbursable.

      Alternative Transportation

      • Rideshare services, or public transit are allowable if the cost is the same or less than mileage and parking fees associated with a rental car or personal vehicle.

      Livery Service

      Livery service is permitted if using University-preferred livery suppliers on flights departing from the following airport locations:

      • Boston
      • New York
      • New Jersey
      • Bradley International Airport – guests only

      Costs charged to a sponsored award must not exceed costs that would have been incurred with the use of a personal vehicle (i.e., mileage and parking).

      State-owned Vehicles

      • If a University workforce member or department has a state-owned or state-funded (i.e., an automobile allowance/stipend) vehicle, the University Workforce member or department must use the vehicle for Business Travel whenever possible.

      Rail Travel

      • Business class is allowed for journeys over four (4) hours excluding layovers.
      • First-class rail travel is not reimbursable.

      Lodging

      Lodging expenses cannot exceed the federal per diem lodging rate by more than 50% percent (excluding taxes). Conference hotel rates are allowed to exceed the federal per diem lodging rate by more than fifty percent (excluding taxes) for rooms booked at the conference hotel.

      Lodging is limited to one bedroom per Traveler on University business.

      Travelers will not be reimbursed for lodging costs prior to the day of departure or after return. Local Lodging is not allowed, unless it is needed for a conference.

      Meals

      For individual meals only meal per diem amounts will be reimbursed; actual meal costs will not be reimbursed.

      • If a meal was provided, the corresponding meal per diem must be deducted by the Traveler.
      • The first and last days of travel are reimbursed at 75% of the daily meal per diem rate

      For business meals, alcohol restrictions and additional requirements, please see the separate Payment of Meals Policy.

      Gratuities and Miscellaneous

      Gratuities are reimbursable at a rate not to exceed 20% of the cost.

      Travelers may receive reimbursement for miscellaneous business services/charges while traveling on University business. E.g., Internet access, use of a computer, and other similar business services.

      Single-Day Travel

      Travelers are eligible for meal per diems if they are away from their home and Official Duty Station for more than ten hours without an overnight stay.  The per diem cannot exceed 75% of the U.S. General Services Administration (GSA) per diem rate in effect for the destination of travel. Such Reimbursements will be treated as taxable income to the University Workforce Member or student.

      INTERNATIONAL TRAVEL

      Reimbursements for international travel are based on actual exchange rates documented by receipts or credit card statements.

      Passport and visa fees are reimbursable when required for Business Travel and when permitted by the funding source as in the case of a sponsored project. Travel Expenses to obtain or renew a passport or to obtain a visa are not reimbursable.

      International Medical and Emergency Evacuation Expenses:

      • Medical and emergency evacuation insurance are covered by the University’s contracted supplier for travel during Business Travel dates. Any additional insurance purchased is not reimbursable.
      • Costs relating to required vaccinations, prescriptions, medical co-pays for Business Travel are reimbursable.

      EXPENSE REPORTING

      Expense reports must be submitted within 30 days of the Business Travel end-date using Concur.

      Prohibited Business Travel Expenses

      The following list is not exhaustive. Consult the Travel and Entertainment Procedures and/or with Travel Services for further information.

      1. Normal commute mileage
      2. Personal items (e.g. toiletries, souvenirs)
      3. Alcohol
      4. Fines (e.g., parking traffic violations)
      5. Expenses paid with credits
      6. Accompanying individuals without a legitimate business purpose
      7. Expenses without documentation, unless below the thresholds above
      8. Trip insurance

      Sponsored Program Expenses

      Travelers using sponsored program funds for University Travel Expenses are required to educate themselves or consult with Sponsored Program Services on the sponsor-specific travel requirements.  Travelers may be subject to more restrictive rules than those paid from non-sponsored University funds and are required to follow the most restrictive rules of the sponsor and the University. The University is not obligated to cover expenses that are not allowable on sponsored programs or denied by the sponsor. Some sponsors, particularly federal granting agencies, may not allow certain expenses that the University typically does. If the expenses meet all conditions of this policy and the associated travel regulations, the University may cover them from non-sponsored funding.

      Travelers who work on sponsored projects may be required to disclose University travel costs paid for or reimbursed by an entity other than the University. Refer to the definition of Significant Financial Interests in the Financial Conflicts of Interest in Research Policy.

      EXCEPTIONS TO POLICY

      Exceptions to policy must demonstrate cost savings and/or business necessity and be pre-approved by Travel Services, Accounts Payable, or a Senior Institutional Official.  Exceptions that involve funding from a federal granting agency must also be approved by Sponsored Program Services.

      Extenuating circumstances where an exception to policy occurred during travel and could not have been foreseen must be approved post-trip by Travel Services in Procurement, Accounts Payable, or a Senior Institutional Official.

      Individuals who require accommodations for reasons of health or disability may seek reasonable exceptions to this policy through the University’s Department of Human Resources.

      ENFORCEMENT

      Travelers who do not comply with this policy or its associated procedures may be personally responsible for expenses incurred. Violations of this policy or its associated procedures may also 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/APPENDICES

      Travel and Entertainment Procedures
      Appendix 1 Roles and Responsibilities

      REFERENCES

      Export Control and Economic Sanctions Policy
      Financial Conflicts of Interest in Research Policy
      Fly America Act
      Payment of Meals Policy
      University’s Export Control website
      University Travel Cards | Travel Services

      POLICY HISTORY

      Policy created:

      Revisions:

      11/19/2025 (Approved by Senior Policy Council and President)
      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

      Cost Sharing Policy

      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]