For Faculty and Staff

For Faculty and Staff

Policies and Procedures Manual

CONTENTS: (click to jump to topic)

Grant and Fiscal Management

Research Proposals – Internal Proposal Review Form
Research Proposals – Budget Preparation

Obtaining a No Cost Extension

Project Rebudgeting

Human Subjects Research

Personal Service Agreement

Funding Graduate Students

Travel Procedures

Purchase Requests

Research Office Supplies and Routine Operating Expenses

CTI Staff Vacation/Leave Time Policy

Voluntary Staff Effort Report Form

Faculty Summer Salary

CTI Van – Rules and Regulations for Use

 

 

 

Grant and Fiscal Management

Grant and fiscal management provided by CTI consists of the following services only:

  • Proposal budget review
  • Pre-award set up
  • Quarterly and annual fiscal reports to sponsors
  • Purchasing
  • Payroll
  • Monthly project tracking reports
  • Assistance with problems with central UConn offices
  • PI support (but not decision making) on fiscal management and budgeting options

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Research Proposals (for projects administered through CTI)

Internal Proposal Review Form:

If you wish your grant to be administered by CTI, the Office of Sponsored Programs (OSP) requires that the Internal Proposal Review Form has CTI listed in the “Project Information” section. The form must be signed by the CTI director.

Budget Preparation:

OSP requires that proposal paperwork (including budget and budget justification) be submitted for review 7 days before the grant deadline.

CTI Financial Assistants, Lori Judd and Carolyn Ward, review budget and budget justification for all projects administered through CTI. You must submit your budget to the appropriate financial assistant before submitting it to OSP. They require one full business day to review the budget.

It is the responsibility of the P.I. to go to OSP Budget Preparation and use the appropriate pay rates and fringe rates. Errors will be flagged by the financial assistant. The P.I. must make appropriate corrections to the budget and resubmit a copy to the financial assistant for CTI’s records.

P.I.s must specify the percent (%) of effort which corresponds to the budgeted amount for each person’s salary.

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Obtaining a No-Cost Extension

Carolyn to Provide Electronically – 2/23/07 sld

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Project Rebudget

When funds in a project budget (i.e. salaries, contractuals, supplies, equipment, travel, etc.) need to be moved from one category to another, a rebudget must be submitted to the Office of Sponsored Programs (OSP). Changes to the original budget WITHIN a category are at the discretion of the principal investigator. For example, salary may be shifted between individuals or supply funds might be spent on supplies in proportion not anticipated. Internal rebudgets do not require OSP approval. However, SALARY changes should always be communicated to the CTI director. Salary changes affect overall workload and salary planning which is conducted on a quarterly basis.

When the PI or Financial Assistant determine that funds in a project need to be reallocated, the following steps must be taken by the PI:

1) Go to the OSP website and fill in the on-line rebudget request form.

Note: Two very important items that must be made clear to OSP include why the funds are available in the project budget, and how the rebudget will benefit the project.

2) Print a copy for your records.

3) OSP will determine, based on the contract, if the sponsor must be contacted.

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Research Involving Human Subjects

University policy on research involving human subjects may be found at http://www.irb.uconn.edu

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Personal Service Agreement

For university policies and procedures regarding Personal Service Agreements, please go to http://PSA.uconn.edu

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Funding Graduate Students

Any faculty member or P.I. wishing CTI to prepare payroll forms and offer letters for a graduate students for the regular academic year, a single semester, or for summer must complete a Graduate Student Funding Request form (link to pdf version below) for each student.

Deadlines for submitting the form(s) to Lori Mather for processing will be regularly announced via email. Processing requires considerable lead-time to insure students are paid on time.

Complete all applicable fields on the form. Note that for the academic year or semester funding the total amount of the stipend must be indicated as well as a % charged against each account. For summer funding, indicate only the total dollar amount(s) allocated.

Graduate payroll information may be found at www.payroll.uconn.edu/graduate.html. Also see the Office of Sponsored Programs budget preparation information (i.e. summer stipends) at www.osp.uconn.edu/budgetprep.html

P.I.s are responsible for making sure they have available funds to support student salaries and the fringe rates that are applied on top of salary.

Graduate Student Funding Request Form

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Travel Procedures

NOTE: The University of Connecticut Travel Procedures can be found at the following website: http://web.uconn.edu/travel/policymanual.pdf

Travel Authorizations

Foreign travel – A formal Travel Authorization (TA) is necessary for all travel outside the contiguous United States. This form can be found at the UCONN travel website: www.travel.uconn.edu.

Out of State Travel – For CTI Staff members, out of state travel must be pre-approved by the Staff member’s supervisor.

This may be accomplished by requesting approval of your supervisor by email. In the email, please include the reason for the travel, destination, dates of travel, estimated cost and the FRS numbers where the travel is to be charged. In the event the cost is to be split between two projects, please include the split between FRS numbers.

Your supervisor will reply to your email either approving or rejecting your request. Approved requests, will be CC’d to the appropriate Financial Assistant so that the estimated costs can be encumbered on the project tracking report(s).

In-State Travel – Request verbal approval from your supervisor.

Electronic Travel Information Form (ETIF)

Travel inside the contiguous United States:

Please work with the appropriate financial assistant to obtain an ETIF number in the following circumstances only:

  • you need a Bradley Airport parking permit and/or
  • you need a travel advance and/or
  • you are booking through a UCONN-contracted travel agency. You can find the

UCONN agencies and their associated fees at the following website: http://web.uconn.edu/travel/agency.html

You may also book your trip through your own travel agent or over the internet. See “Travel Reimbursement” below for details on obtaining reimbursement for these expenses.

Once you have completed your travel, provide the following information to the financial assistant that monitors that grant on which you traveled:

  • Dates and times of departure and arrival
  • Purpose of travel
  • Destination
  • Original receipts for all claims for lodging, meals (when requesting reimbursement of actual expenses) and any miscellaneous claims against the State exceeding twenty-five dollars, excluding mileage. Receipts for meals are not required if using per diem.
  • Mileage between each destination
  • FRS number to be charged
  • Claims for trips involving air travel must include the original air ticket receipt and airline boarding pass.
  • Claims involving Research Foundation funded travel must include a copy of the award letter (for travel outside the contiguous United States.)

Once complete, the reimbursement form will be returned to you for the following signatures:

  • Traveler
  • Project PI for each FRS number given
  • Supervisor

AAUP/UCRF Funds

As of September 27, 2004, all requests from faculty or staff for UCRF/AAUP travel funds will be made electronically through use of the Faculty Travel and Short Course WebForm. To use the new WebForm, you must first register for a Research WebPIN at http://www.research.uconn.edu/webpin.html. This new process will eliminate a heavy paper trail, and save time and effort for travelers and preparers. (Paper applications received in the Office of the Asst. Vice Provost for Research after September 30, 2004, either by fax or through campus mail, will be returned to the originating department for resubmission.)

Need help?
Please follow the links:
Instructions go to http://www.rac.uconn.edu/travel.html
Guidelines go to http://www.rac.uconn.edu/travel_guide.html
Webform go to http://www.rac.uconn.edu/travel_request.html

Additionally, all information may be found on http://www.rac.uconn.edu/. If you need to talk to someone in person, please contact Marita Decozio-Wiley at 486-5988 or email her at marita.d.wiley@uconn.edu.

NOTES:

Advise Lori Mather or Carolyn Ward as soon as possible of any changes in travel plans or arrangements, or any change of FRS accounts to be charged.

Requests for travel reimbursement must have approval signature of the project P.I. for each given FRS number.

UConn Travel Procedures and Guidelines may be found on the website http://www.travel.uconn.edu

NEW!!! Faculty and staff may apply to have reimbursements for travel and other expenses DIRECT DEPOSITED into a checking or savings account. Information and application form.

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Purchase Requests

Submit your request, along with a printed price quote, for the item(s) you are requesting to Lori Mather or Carolyn Ward.

Purchase Request Form (complete and fax to 486-5718).

Notes: Purchase requests must be signed by the project P.I. for each given FRS number. For purchase requests greater than $10,000 – other policies apply.

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Research Office Supplies and Routine Operating Costs

Research projects which are subject to reduced indirects rates (state projects, i.e. NETC):

  • Routine office supplies, faxes, mailing and telephone charges are charged as direct costs on the projects and are provided through CTI. Be sure to include these items explicitly when budgeting projects in the proposal stage.

Research projects which are subject to full indirect rates (federal grants, i.e. NEUTC):

  • Routine office supplies, faxes, mailing and telephone charges are NOT provided through CTI. Supplies and operating expenses are provided by the PI’s department and are subject to the department’s policies.

Research projects requiring extraordinary supplies and operating expenses:

  • In some cases a research project will require extraordinary supplies or office costs (i.e. survey research requiring extensive phone charges, copying or postage). These costs should be explicitly budgeted in the proposal and can be charged, even if the full indirect rate is used.

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CTI Staff Vacation/Leave Time Policy

Leave of 2 days or more:

CTI staff must secure prior approval to take vacation or extended leave time of two or more consecutive working days. Submit the request form (link below) to your immediate supervisor at least 2 weeks prior to requested time off. You will be supplied with the original, signed request form indicating approval or denial of your request. The form is not required for taking vacation time of one day or less. The form is also not required in the event of an unexpected illness. Check with your supervisor regarding possible “black out” dates and/or issues affected by your absence.

After approval for leave or vacation has been granted by your supervisor, indicate the days when you will not be in the office on the sheets posted in the central office at the White House. For employees not located at the White House, this information should be forwarded to the White House secretary for posting on the sheets.

Leave of 1.75 days or less:

Except in cases of personal emergency or illness, requests for vacation or leave time with a duration of 1.75 days or less are requested by email (including date and amount of leave to be used) by the end of the day prior to the leave being taken. If your immediate supervisor is not available to respond in a timely manner, the request should be made to your supervisor’s supervisor or the director of the center.

Whenever possible, these short leaves should be noted on the White House in/out board personally or by contacting the CTI secretary at 486-5400.

Leave Time Request Form

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Voluntary Staff Effort Reports

The Voluntary Staff Effort Report form is used for internal planning only. The university Leave Report or Time Report will remain as the on-record report of time.

CTI Voluntary Effort Report Form

CAP Lab Voluntary Effort Report Form

 

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Faculty Summer Salary Request

CTI staff will prepare the Special Payroll documents for faculty summer salary on grants that are managed by CTI. Please use the Faculty Summer Employment Request Form and submit the form to Lori Mather via email Lori.Mather@uconn.edu or fax to (860) 486-5718.

 

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Use of the CTI VanRules and Regulations (Effective June 2005)

All drivers must read this document before using the vehicle for the first time. Copies of this document are located in the van and on the mileage log clipboard

The vehicle may not be used for personal use or non-university travel.

Due to state insurance regulations, non-university passengers (i.e. friends, family) are not allowed in the vehicle.

The vehicle is only to be used for CTI-affiliated projects.

To reserve the vehicle, call 486-5400 . There are no exceptions to this rule.

Keys and mileage log clipboard will be kept in the main office of the building where the vehicle is located (Castleman or White House). The vehicle location will alternate semester by semester between the White House and Castleman. During summer 2005, it will be located at the White House. During the fall 2005 semester it will be located at Castleman.

If the vehicle is to be used for an extended period (i.e. 2 consecutive days or over a weekend), it must be reserved at least 3 days in advance and be approved by the CTI Secretary (call 486-5400).

Vehicle, keys and mileage log must be returned no later than 5:00 PM on the day the vehicle is borrowed, unless special permission and other arrangements are obtained through the CTI Secretary.

Parking at Castleman: Return the vehicle to its proper reserved space (marked 9-104) behind the Castleman Building . This is our only authorized parking space. If that space is occupied, park the vehicle in the next available spot. DO NOT, however, park in front of the Machine Shop garage door.

If the vehicle is not returned to the authorized space, advise the CTI Secretary and arrange to move the vehicle to its proper space as soon as possible.

The gas tank must be filled at the UConn Motor Pool whenever the tank registers 3/4 or less full.Check the oil level when filling the gas tank. A campus map showing the location of the Motor Pool station and instructions for using the gas pump are located in the glove compartment of the vehicle.

The gas pump key is a square plastic key attached to the keychain.

In the event of an emergency breakdown , please call the UConn Motor Pool Service & Repair at (860) 486-3029 immediately.

Report any and all vehicle problems or broken items to the CTI Secretary upon returning the vehicle. If you do not report problems or damages, CTI will assume you are personally responsible.

No smoking is allowed in the vehicle. Remove all garbage, personal belongings and research equipment when returning the vehicle. Spills should be cleaned and dirt, sand or soil should be vacuumed up (there is a vacuum at the Motor Pool). The vehicle must be returned in the same condition as when it was taken.

All drivers (faculty, students and staff) are subject to all rules. Breaking the rules may forfeit future use of the vehicle.

RULES FOR USING THE VAN’s LIGHT BAR:

Lights should never be used to stop traffic.

Lights should never be used during normal driving on a street, road or highway.

Lights should be used ONLY when stopped/working on the shoulder of the road -or- when in a work zone area/construction site.

All drivers (faculty, students and staff) are subject to all rules. Breaking the rules may forfeit future use of the vehicle.

Print these rules

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