Author: Laurie Neal

Alcoholic Beverage Sales and Service Policy

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Title: Alcoholic Beverage Sales and Service, Policy on
Policy Owner: Department of Dining Services
Applies to: Students, Employees, Others
Campus Applicability: All Campuses
Effective Date: October 23, 2017
For More Information, Contact Department of Dining Services or
UConn Health
Contact Information: (860) 486-3128 (Storrs/Regional Campuses)
(860) 679-4177 (UConn Health)
Official Website: http://www.dining.uconn.edu

PURPOSE

To provide specific requirements for the sale and/or service of alcoholic beverages at University sponsored events.

SCOPE

This policy does not apply to non-University on-campus entities (such as the University of Connecticut Foundation and the Nathan Hale Inn) or off campus Athletic venues.

DEFINITIONS

University Sponsored Events: An official activity, function or meeting operated and/or financially supported by the University of Connecticut, whether on- or off-campus.

Permanent Installation: A permanent foodservice operated by the Department of Dining Services on a Regional Campus.

POLICY STATEMENT

Alcohol Service on University Campuses: The Department of Dining Services is the sole liquor permit-holder on University campuses with a Permanent Installation, and is solely responsible for ensuring the proper service of alcohol at any on-campus University Sponsored Event where a Permanent Installation exists. Campuses with a Permanent Installation must use the Department of Dining Services to serve alcohol. At campuses without a Permanent Installation (except UConn Health) departments must seek approval from the Department of Dining Services to use an alternate service. Requests must be approved in writing by the Department of Dining Services. At UConn Health, requests must be approved in writing by the Dean of the School of Medicine, the Dean of the School of Dental Medicine, or the Chief Administrative Officer, as appropriate.

Alcohol Service at Off-Campus University Sponsored Events:  If alcohol is to be served at an off-campus University Sponsored Event, the individuals responsible for event planning must ensure that the sale and/or service of alcohol complies with this policy.

Sales and Service of Alcoholic Beverages

Alcoholic beverages may be possessed, served, sold or consumed at a University Sponsored Event or Permanent Installation only under the following conditions:

  • In no circumstances may alcohol be purchased with University funds or Trustee student organization fees, either directly or indirectly. For example, funds used to purchase food or cover facility fees may never subsidize the purchase of alcohol.
  • Service and sale of alcoholic beverages is covered by an appropriate liquor permit. At campuses with a Permanent Installation, this is the Department of Dining Services’ liquor permit. At campuses without a Permanent Installation, including UConn Health, this is an approved vendor or caterer’s liquor permit.
  • Alcohol servers are TIPS (Training for Intervention Procedures) certified.
  • Alcoholic beverages are served as a complement to a planned program or event with a legitimate University business purpose.
  • Alcoholic beverage service is accompanied by food service and non-alcoholic beverage alternatives in amounts sufficient for all attendees.

Additional restrictions include:

  • Alcohol service is prohibited in academic buildings while classes are in session in that building. At UConn Health, exceptions must be approved in writing by the appropriate Dean or the Chief Administrative Officer.
  • University employees may not host department meetings or gatherings on campus and supply their own alcohol.
  • At campuses with a Permanent Installation, all alcohol service must be arranged, purchased, and served by the Department of Dining Services. External caterers may not provide alcohol on these campuses.
  • No alcoholic beverages may be served for any group of students of the University, or for any function, where it is reasonable to expect consumption by persons under the age of twenty-one years.

Campuses without the Presence of the Department of Dining Services

If alcohol is to be served at a University Sponsored Event at a campus without a Permanent Installation (except UConn Health), the individuals responsible for event planning must first submit a request for approval to the Department of Dining Services. This form is located at https://dining.uconn.edu/alcohol-request-form/. At UConn Health, requests must be submitted using this form and approved by the Dean of the School of Medicine, the Dean of the School of Dental Medicine, or the Chief Administrative Officer, as appropriate.

Exceptions to this policy may be granted by the Office of the President. At all times, any entity serving alcohol on campus must have the appropriate liquor permit.

ENFORCEMENT

This policy is intended to complement existing University policy regarding alcohol, including but not limited to, the General Rules of Conduct, Student Code, and the University Policy on Alcohol and Other Drugs.

Violations of these policies may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Code.  Depending on the nature and severity of the violations, additional sanctions may be enacted.

Space Management Policy

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Title: Space Management Policy
Policy Owner: University Planning, Design & Construction (UPDC)
Applies to: Faculty, Staff
Campus Applicability: All campuses except UConn Health
Effective Date: June 12, 2017
For More Information, Contact University Planning, Design & Construction (UPDC)
Contact Information: (860) 486-2776
Official Website: https://space.uconn.edu/

REASON FOR POLICY

The availability of facilities and space plays an important role in advancing the mission and goals of the University of Connecticut. It is in the University’s best interest to allocate space in an objective and consistent manner based on the University‘s mission and priorities.

APPLIES TO

This policy applies to the Storrs and all regional campuses and designated affiliates or approved units of the University of Connecticut at those campuses. This policy does not apply to UConn Health.

POLICY STATEMENT

All space belongs to the University and is assigned to units, schools, departments or programs based on University’s priorities and the functional requirements of each user group.  The University may reallocate space at any time as needs and priorities change.

Decisions regarding the allocation of occupied and unoccupied space are based on campus and program priorities, Academic and Strategic Plans, the Master Plan for the campus, and overall need.

The President of the University has ultimate authority over space assignments. The Provost, Vice Presidents, and Division of Athletics Director are responsible for allocating and managing space occupied by activities under their control or within their divisions in accordance with the University’s Space Planning Guidelines.

The Office of the Provost and Executive Vice President for Academic Affairs has overall responsibility for the equitable and optimal use of academic and research space resources, with final authority over all UConn academic and research space assignments and designations in collaboration with the Office of the Executive Vice President for Administration and Chief Financial Officer.

The Office of the Executive Vice President for Administration and Chief Financial Officer has final jurisdiction over all UConn non-academic and non-research spaces in collaboration with the Office of the Provost and Executive Vice President for Academic Affairs except for those spaces identified below.

All space occupied  by the Division of Student Affairs (e.g. Student Union, Recreation Center) will be the responsibility of the Vice President for Student Affairs in collaboration with the Office of the Provost and Executive Vice President for Academic Affairs and the Office of the Executive Vice President for Administration and Chief Financial Officer.

All space occupied  by the Division of Athletics will be the responsibility of the Director of Athletics in collaboration with the Office of the Provost and Executive Vice President for Academic Affairs and the Office of the Executive Vice President for Administration and Chief Financial Officer.

The University Planning office within University Planning, Design and Construction is responsible for reviewing space requests and making recommendations to the appropriate authority.

The four officers with authority over space will coordinate all significant space decisions with the Office of the President.   The President as the chief executive and administrative officer of the University has the authority and responsibility to make all final decisions regarding space.

PROCEDURES AND GUIDELINES

For roles and responsibilities: Space Planning Procedures.

For assigning space: Space is assigned in accordance with the Space Planning Guidelines.

Requesting additional space or making modifications to existing space is governed by Space Planning via the Space Planning & Management Request Form. 

ENFORCEMENT

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

POLICY HISTORY:

Policy created:  6/12/2017 (Approved by Cabinet)

Animals on Campus

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Title: Animals on Campus
Policy Owner: Office of Institutional Equity
Applies to: Students, All Employees, Contractors, Vendors, Visitors, Guests and Other Third Parties
Campus Applicability: All
Effective Date: May 1, 2019
For More Information, Contact Office of Institutional Equity
Contact Information: (860) 486-2943 & (860) 679-3563
Official Website: http://www.equity.uconn.edu and http://accessibility.uconn.edu

Click here to view a PDF, Printer Friendly copy of this policy.

Related Policies are:

Policy Against Discrimination, Harassment and Related Interpersonal Violence
Policy Statement: People with Disabilities

Related Documents are:

Animals in the Clinical Practice and Patient Care Areas
Frequently Asked Questions
Animal Related Program Registration Form

1. PURPOSE

This policy provides the rules concerning individuals bringing animals on University property. This policy applies to all University campuses. Specific procedures regarding the presence of animals in UConn Health clinical practice and patient care areas are outlined in the Animals in the Clinical Practice and Patient Care Areas.

2. LEGAL 

The Americans with Disabilities Act governs the use of service animals by individuals with disabilities. See 42 U.S.C. § 12101, et seq. The Fair Housing Act governs the use of emotional support animals (ESA’s) by individuals with disabilities in housing. See 42 U.S.C. § 3601, et seq. Connecticut state law regarding service animals may be found under C.G.S. § 46a-44.

3. DEFINITIONS

Controlled Space
For purposes of this policy, controlled spaces are not public spaces. Controlled spaces are defined as any indoor area owned or controlled by the University, and any outdoor area owned or controlled by the University with limitations on use or access (e.g., practice fields, stadiums, farm, tennis courts, etc.). Areas open to the public (i.e., streets, lawns, sidewalks, parking lots) with no limitations on access are not controlled spaces.

Handler
An individual with a disability who is the owner or user or trainer of a service animal or ESA, or the owner or individual bringing an animal onto University property.

Emotional Support Animal (ESA)
Any animal specifically designated by a qualified medical provider that alleviates one or more identified symptoms of an individual’s disability. Such animal may afford an individual with a disability an equal opportunity to use and enjoy a dwelling, workplace, or other area, provided there is a nexus between the individual’s disability and the assistance the animal provides. ESA’s are also commonly known as companion, therapeutic or assistance animals. ESA’s are not service animals.

Pet
For purposes of this policy, a pet is any animal that is not a service animal or ESA.

Public Spaces

For purposes of this policy, public spaces are indoor and outdoor areas that are open to the general public. Classrooms, residence halls and most employee workspaces are not generally considered public spaces.

Service Animal
Any dog specifically trained to perform a task for the benefit of an individual with a disability. In some circumstances, a miniature horse may be considered a service animal. The tasks performed by a service animal must directly relate to the individual’s disability.

Service Animal in Training
For purposes of this policy, a service animal in training is a dog that is being trained as a service animal and includes a puppy that is being raised to become a service animal in training.

University Property
For purposes of this policy, University property includes all areas owned or controlled by the University.

  1. APPLICABILITY

This policy applies to all individuals bringing an animal on University property.

5. POLICY

5.1 Prohibition
All individuals are generally prohibited from bringing animals into any buildings or other controlled spaces on University property. However, individuals with disabilities are allowed to bring service animals and emotional support animals (ESA’s) on and/or into controlled spaces as provided below. In addition, faculty and staff are permitted to have pets in University-owned residential housing only to the extent permitted by the lease governing their rental agreement.  Exceptions for individuals in residence halls may be made in the sole discretion of the Executive Director of Residential Life or designee for exigent circumstances or other good cause shown consistent with the spirit and intent of this policy.

5.2 Service Animals
The University welcomes the presence of service animals assisting people with disabilities on its campuses consistent with the provisions of this policy and applicable law. A service animal is generally permitted to be on University property in any place where the animal’s handler is permitted to be. In certain limited situations, a service animal may be prohibited for safety and health reasons. The accompaniment of an individual with a disability by a service animal in a location with health and safety restrictions will be reviewed on a case-by-case basis by the appropriate department representative(s) in collaboration with the Department of Human Resources and/or the Center for Students with Disabilities.

A service animal for an individual employed by the University must be approved in advance by the Americans with Disabilities Act (ADA) Case Manager at the Department of Human Resources prior to bringing the animal to the workplace.

Members of the University community, are prohibited from interfering in any way with a service animal, or the duties it performs.

5.3 Service Animals in Training
Connecticut law entitles any individual training a service animal to enter public spaces. A service animal in training is not allowed in controlled spaces including classrooms, residence halls and employee work areas. The individual training a service animal must be authorized to engage in designated training activities by a service animal organization or an individual who volunteers for a service animal organization that authorizes such volunteers to raise dogs to become service animals.  Individuals training a service animal must carry photographic identification indicating authorization to train the animal. A service animal in training, including a puppy that is being raised to become a service animal in training, must be identified with either tags, ear tattoos, identifying bandanas (on puppies), identifying coats (on adult dogs), or leashes and collars.

5.4 Emotional Support Animals (ESA’s)
An approved ESA for an individual who lives in University housing is permitted within the individual’s privately assigned living accommodations. An ESA outside the private individual living accommodations must be in an animal carrier or controlled by a leash or harness.  ESA’s are not allowed in any other controlled spaces without advance permission. ESA’s are permitted to be in outdoor public areas to the same extent as pets.

An ESA for an individual employed by the University may be permitted within the individual’s workplace as an accommodation for a disability, but must be approved in advance by the Americans with Disabilities Act (ADA) Case Manager at the Department of Human Resources as outlined in Section 6.1 below.

5.5 Pets
Pets generally are not permitted in or on any controlled space on University property, and are permitted only in outdoor areas open to the general public.

5.6 Handler’ Responsibilities
5.6.1 A service animal, service animal in training, ESA or pet must be supervised directly by the handler, and the handler must retain full control of the animal at all times while on University property. The animal must be in an animal carrier or controlled by a harness, leash or tether, unless these devices interfere with the animal’s work, the individual’s disability prevents using these devices, or the animal is an ESA within the handler’s own dwelling. In those cases, the handler must maintain control of the animal through voice, signal, or other effective controls.

5.6.2 Animals may not be left unattended at any time on University property, except for service animals left in the handler’s University residence or private office space or ESA’s left in the handler’s dwelling unit.  The service animal or ESA may be left unattended only for reasonable periods of time, as determined by the appropriate University staff based on the totality of the circumstances. The University may request impoundment of an ESA or service animal left for longer than a reasonable period of time. Owners of impounded animals will be held responsible for payment of any impound and/or license fees required to secure the release of their animals.

5.6.3 A handler who leaves their service animal or ESA unattended for longer than a reasonable period of time will receive one warning, and if the behavior occurs a second time, the University reserves the right to require the handler to remove the animal from campus and to prohibit the animal from being permitted back onto University property.

5.6.4 All handlers are responsible for compliance with state and local laws concerning animals (including registration, vaccinations, and tags), for controlling their animals, for cleaning up any waste created by the animal, and for any damage caused by the animal to individuals or property while on University property.

6.PROCEDURES

Specific procedures regarding the presence of animals in UConn Health clinical practice and patient care areas are outlined in the UConn Health Clinical Practice Procedures Regarding Animals.

6.1 Employees Requesting Permission for Service Animals or ESA’s

6.1.1 Workplace Accommodation

Employees and all others performing work for the University who seek the presence of a service animal or an ESA as a workplace accommodation must contact the Americans with Disabilities Act (ADA) Case Manager at the Department of Human Resources in advance of reporting for work with the animal.

For service animals and ESA’s, the ADA Case Manager will determine whether the request represents a reasonable accommodation for a documented disability. The terms of the approval, including where the service animal or ESA will and will not be permitted, will be determined and documented by the ADA Case Manager, after the facilitation of an interactive accommodations process with the employee and their supervisor(s). This process must occur before any employee can bring a service animal or ESA into the workplace. The ADA Case Manager for Storrs and Regional Campuses may be contacted at (860) 486-2036 or hr@uconn.edu. Information related to the ADA accommodations process for employees, is contained online: http://hr.uconn.edu/ada-compliance/.

UConn Health employees must contact the Human Resources (HR) ADA Case Manager in advance of reporting for work with the animal. The HR ADA Case Manager may be contacted at (860) 679-2831 or HR-EmployeeResource@uchc.edu.  Information related to the ADA accommodations process for UConn Health employees is contained online: https://health.uconn.edu/human-resources/services/americans-with-disabilities-act-compliance-and-accommodations/


6.1.2. Residential Accommodation

Employees who reside on University property and who wish to have an ESA in their University housing as an accommodation for a disability must request the University’s permission to have the ESA in University housing. Permission will be granted only as an accommodation for a documented disability and must be arranged through the Americans with Disabilities Act (ADA) Case Manager at the Department of Human Resources prior to bringing the animal into University housing. The ADA Case Manager will determine whether the request represents a reasonable accommodation for a documented disability and should be granted.

The employee is not allowed to take an ESA into any other controlled spaces, including but not limited to the employee’s work area, unless the employee has received express authorization to do so from the University. The ADA Case Manager may be contacted at (860) 486-2036 or hr@uconn.edu. Information related to the ADA accommodations process for employees is contained online: http://hr.uconn.edu/ada-compliance/.

The UConn Health ADA Case Manager may be contacted at (860) 679-2831 or HR-EmployeeResource@uchc.edu.  Information related to the ADA accommodations process for UConn Health employees is contained online: https://health.uconn.edu/human-resources/services/americans-with-disabilities-act-compliance-and-accommodations/


6.2 Students Requesting Permission for Service Animals or ESA’s

6.2.1. Service Animals
Students are not required to receive permission from the University prior to bringing a service animal onto University property. The student may be asked whether the animal is needed because of a disability, and what work or task(s) the animal has been trained to perform.

If a student with a service animal plans to reside on campus, the student must notify the University of the need for a service animal’s presence in advance of beginning residence on University property with the animal. Such notification allows the University to make appropriate arrangements, offer any necessary assistance prior to the student’s arrival on campus, and to notify Public Safety of the animal’s presence in case of an emergency. Students should contact Residential Life prior to bringing the animal into their housing at livingoncampus@uconn.edu or (860) 486-2926. Students may also visit http://www.reslife.uconn.edu for further information.

If a student needs any other accommodations while attending the University, documentation of the disability and a request for accommodations must be made under the procedures found at http://www.csd.uconn.edu.  Students may also visit the Center for Students with Disabilities in Wilbur Cross, Room 204, or contact (860) 486-2020 or email csd@uconn.edu for further information related to accommodations.

UConn Health students may contact the UConn Health ADA Case Manager at (860) 679-2831 or HR-EmployeeResource@uchc.edu for any questions related to service animals or accommodations.


6.2.2. Emotional Support Animals (ESA’s)
Permission to have an ESA may be granted only as an accommodation for a documented disability and must be arranged in advance through the Center for Students with Disabilities (CSD). CSD will determine whether the request represents a reasonable accommodation for a documented disability and should be granted. In making that determination, CSD (in connection with Residential Life for those students residing in residence halls), will consider:

  • The size of the animal
  • Whether the animal’s presence would force another individual from that individual’s housing (e.g., serious allergies)
  • Whether the animal’s presence would violate individuals’ rights to peace and quiet enjoyment
  • Whether the animal is housebroken or able to live with others
  • Direct threat (currently or in the past) to the individual or others
  • Past excessive damage to housing caused by the animal

A request for an accommodation must be made under the procedures found at http://www.csd.uconn.edu.  Students may also visit the Center for Students with Disabilities in Wilbur Cross, Room 204, or contact (860) 486-2020 or email csd@uconn.edu.

If approved, a student must have advance communication with Residential Life prior to bringing the animal into their housing. Students may contact Residential Life at livingoncampus@uconn.edu or (860) 486-2926. Students may also visit http://www.reslife.uconn.edu.

Students are not allowed to take ESA’s in or on any controlled spaces other than their privately assigned living accommodations without specific advance authorization from CSD.  ESA’s cannot be left overnight in University housing to be cared for by anyone other than the handler absent permission from Residential Life. The handler must clean up after the animal, ensure that the animal does not disturb the peace and quiet enjoyment of others, and otherwise ensure that the animal is well cared for.

UConn Health students are not allowed to take ESA’s in or on any controlled spaces without specific advance authorization. UConn Health students may contact the UConn Health ADA Case Manager at (860) 679-2831 or HR-EmployeeResource@uchc.edu for any questions related to an ESA or accommodations.

 

6.3 Visitors
Visitors are not required to receive permission from the University prior to bringing a service animal onto University property. The visitor may be asked whether the animal is needed because of a disability, and what work or task(s) the animal has been trained to perform.

A visitor may contact the Office of Institutional Equity at equity@uconn.edu or (860) 486-2943 (Storrs and Regional Campuses); (860) 679-3563 (UConn Health) in advance if the visitor has any questions about the rules concerning the presence of a service animal or a service animal in training (as outlined in Section 5.3) at a specific event or in a specific location on campus.

7.  Appeals and Grievances
Any individuals who feel that they have been unfairly denied the ability to bring or maintain an animal on University property, may contact the Office of Institutional Equity at equity@uconn.edu or (860) 486-2943 (Storrs and Regional Campuses); (860) 679-3563 (UConn Health) or refer to http://www.equity.uconn.edu  for further information.

8. Violations of Policy / Removal of Animal / Disruptive Animals
Access to University property may be restricted or revoked under the circumstances outlined below. Restrictions or exclusions will be considered on a case-by-case basis. The University reserves the right to remove or exclude an approved animal from University property if:

  1. The animal poses a direct threat to health and safety
  2. The handler does not maintain control of the animal, including but not limited to during any interactions with other animals
  3. The presence of an animal fundamentally alters a University program
  4. Improper/Inadequate care of the animal is exhibited, including if the animal is not housebroken
  5. Damage or harm is caused by the animal
  6. The handler violates any of the responsibilities as outlined in Section 5.6 of this policy

If the presence of an animal poses a direct threat to the health and safety of others, the University reserves the right to remove or exclude an animal from University property. In such a situation, Public Safety may be contacted to assist in the removal of the animal. In particular, if a handler’s animal is disruptive in the classroom, the instructor may ask the handler and their animal to leave the classroom immediately. If a handler’s animal is disruptive in the workplace, the handler’s supervisor may ask the handler and their animal to leave the workspace immediately. If a handler’s animal is disruptive at a University event, the event organizer may ask the handler and their animal to leave the event immediately.

Questions about a disruptive animal should be directed to the following:

  • Center for Students with Disabilities (animals in the classroom):
  • Department of Human Resources (animals in the workplace):
  • UConn Health Contact (animals in practice areas, including JDH):
    • Contact appropriate medical staff (i.e. Supervisor or Nursing Manager)
  • Residential Life (animals in the residence halls):
  • Office of Institutional Equity (all other questions, including regarding visitors)
    • Contact (860) 486-2943 (Storrs and Regional Campuses); (860) 679-3563 (UConn Health) or email equity@uconn.edu

9. Exclusions

This policy does not apply to:

  • Fish in aquariums no larger than ten gallons as follows:
    • Within University housing, such aquariums are allowed without advance notice or permission;
    • Within employee workspaces, such aquariums are allowed only with the express advance, written authorization of the handler’s manager/supervisor. At any time, a manager may revoke approval for such an aquarium, requiring its immediate removal from the workspace; and
    • The handler has responsibility for maintaining the aquarium in a clean and sanitary manner and for any damage caused by the aquarium. Animals other than fish are not allowed in such aquariums;
  • University-maintained fish in aquariums of any size located in waiting rooms or other public areas of UConn Health facilities and maintained by UConn Health, including John Dempsey Hospital and University Medical Group;
  • Animals used in Institutional Animal Care and Use Committee (IACUC) approved University research, education or testing Animals used in classes on campus, based on requests by faculty for such use. Such requests may be granted only upon showing that the presence of the animal is for a bona fide educational purpose, and such purpose is clearly delineated on the course syllabus as a central topic in class.  Prior permission must be obtained from the academic unit head, the dean and/or the Provost’s Office and the IACUC;
  • Animal related programs within controlled spaces for non-educational purposes fully reviewed and approved by the Provost’s Office or the Office of Institutional Equity, or their designees. (Animal related programs or events of the Student Union are also subject to the animal requirements and policies of the Student Union) Such requests may be approved only upon a showing that there exists a well-developed program with defined parameters, to be administered by appropriately trained staff;
  • Animals used in police, search and rescue operations on University property;
  • Animals trained for and used in a clinical therapeutic setting on campus, such as a counseling center;
  • Appearances by the official mascot of the University and/or official mascots of other institutions as approved by event organizers; and
  • Animals accompanying individuals in clinical practice or patient care areas at UConn Health pursuant to the UConn Health Clinical Practice Procedures Regarding Animals.

Any questions pertaining to this policy may be addressed to the Office of Institutional Equity at equity@uconn.edu or (860) 486-2943.

POLICY HISTORY

Policy created:  6/9/2017

Policy revised: 5/1/2019

Media and Mass Communication, Policy on

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Title: Policy on Media and Mass Communication
Policy Owner: University Communications
Applies to: Faculty, Staff, and Student Employees
Campus Applicability: All Campuses, including UConn Health
Approval Date: December 19, 2023
Effective Date: December 19, 2023
For More Information, Contact: Vice President for Communications
Contact Information: 860-486-0871
Official Website: https://universitycommunications.uconn.edu/

BACKGROUND

The University of Connecticut (“the University” or “UConn”) needs to be able to communicate accurately, effectively and consistently with a variety of diverse audiences including the media. University Communications is the institution’s primary voice and official liaison to the news media. It is responsible for initiating, developing and maintaining effective, productive and beneficial relations with the news media in communicating University news and in responding to media requests. University Communications is responsible for coordinating and delivering official University comment on all matters regarding the institution internally and through mainstream and social media. This includes both proactive statements, interactions, and responses to requests. University Communications is responsible for disseminating and pitching news stories, responding to media inquiries, arranging interviews and visual productions, and handling requests for distribution of information on behalf of the University’s main campus in Storrs, UConn Health and all campus locations and programs.

PURPOSE

The purpose of this policy is to gather the University’s existing policies regarding institutional and employee communication via mainstream and social media outlets and platforms into one accessible statement while reaffirming the University’s continuing commitment to the principles of academic freedom.  It incorporates policies on three distinct but related situations:

  1. Official University Position Statements or Responses
  2. Mass Communications Associated with News or Events
  3. Requests to Faculty Regarding Subject Matter Expertise
  4. Personal Speech

APPLIES TO

This policy applies to all University employees including administration, faculty, staff and student employees, employees at all campuses including the University’s main campus in Storrs, UConn Health, the regional campuses, and the School of Law. It applies to all employees in all programs wherever located. The policy applies to employees when they are acting in their capacity as employees of the University, including when they are asked questions.

POLICY STATEMENT

  1. Official University Position Statements or Responses

All inquiries seeking an official University response or a statement on behalf of the University should be directed to the University spokesperson within University Communications. All inquiries seeking an official response or statement specific to UConn Health and its clinical and academic areas should be directed to the UConn Health spokesperson.

Authorization to speak on behalf of the University may only be given by the President or the Vice President for Communications. No organizational unit, faculty, or staff member may make official position statements on behalf of the University without consultation with, and express authorization from, the President or University Communications. This includes posting of such statements on University-administered and branded website and social media platforms.

University Communications will coordinate any University responses with appropriate members of the University and UConn Health communities, and should be consulted on any potential statements or responses being considered by an organizational unit.

Any employee who has not been authorized by the President or University Communications to speak to the media in the context of his or her role as a University employee must direct inquiries from the media about the official University comment on all matters regarding the institution to the University spokesperson.

No employee is authorized to speak “off the record” on behalf of the University to media on any matter pertaining to the University.

University employees must adhere to relevant UConn policies as well as all federal, state and local laws and policies regarding the release of information about activities of the University, or its employees, students, volunteers, patients or research subjects, including those that apply to privacy and patient confidentiality such as HIPAA and FERPA.

  1. Mass Communications Associated with News or Events

The University will only on rare occasions send leadership mass emails and social media messages about news and events in the nation and world. Those rare occasions will include external tragedies or sensitive issues that have become dominant challenges in the daily lives of our communities at large.

Tragedies or concerns that affect individuals or groups unfortunately occur with great frequency. A practice of emailing after every major news issue or event is not practical. Selecting some issues or events and not others is exclusionary and lacks consistency. In addition, mass email is a poor vehicle for processing complex and painful topics, and university stakeholders have different perspectives about how tragedies and impacts to people should be described.

A singular mass message provides only one-way communication to thousands of individuals and is a poor replacement for other modes of communication that allow for better engagement for understanding, empathy and support for those impacted. Such messages also can be seen as lacking action or sincerity, and frequent messages about national and global tragedies can heighten fears or mental stress. They also can de-sensitize audiences to such messages from leadership, or even polarize the community.

Decisions and authorization on sending mass communications regarding such subjects ultimately rest with the President and/or the Vice President for Communications. Guidelines and best practices for engaging the campus community in these situations can be found here.

  1. Requests to Faculty and Staff Regarding Subject Matter Expertise 

UConn is proud of its faculty and staff, and their expertise and scholarship in a vast array of subjects and disciplines. Many senior administrators and staff also have expertise. Individual faculty, administrators and staff experts are encouraged to provide subject-specific commentary based on their scholarship in their academic concentration or their expertise in their professional field. This includes athletic coaches and staff on matters related to university athletic contests and team- or program-related matters.

When offices and/or individuals are contacted for their scholarly or professional expertise, they are encouraged and expected to notify University Communications that a media representative has made contact. University Communications facilitates accurate, ethical and timely news coverage of significant programs and the achievements of faculty, administrators, staff, students and alumni. University Communications is available at all times to consult with administrators, faculty and staff about the most effective ways to work with the media.

Any questions that fall outside of a faculty member’s academic interest or expertise should involve consultation with the University spokesperson, who can be a resource in these instances. Questions also may be referred to the University spokesperson for direct handling. Inquiries seeking an official University comment must be directed to the University spokesperson.

If a faculty or staff member is unsure of whether a question or request for comment from the media concerns the faculty or staff member’s area of expertise or seeks an official University position, University Communications must be consulted.

  1. Personal Speech

Nothing in this policy is intended to restrict the freedom of faculty and staff members to engage in their scholarly activities or their personal involvement in community activities. Nothing in this policy is intended to affect individual employees’ rights to express personal opinions on University or non-University actions and policies. Nothing in this policy is intended to restrict faculty or staff members from commenting on matters of public concern implicating an employer’s official dishonesty, deliberately unconstitutional action, other serious wrongdoing or threats to health and safety. When speaking or writing as a citizen, an employee should be accurate, should exercise appropriate restraint, should show respect for the opinions of others, should not use University media or information technology (email) platforms, and should make every effort to indicate that he/she does not speak for the institution.

The University reaffirms its continuing commitment to the principles of academic freedom and its protections as set forth in Article XIV of the Laws and By-Laws of the University of Connecticut and the right to freedom of speech protected by the United States and Connecticut Constitutions.

ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University Bylaws, General Rules of Conduct for All University Employees, Office of Student Financial Aid Services – Student Employment Guide, applicable collective bargaining agreements, and any other applicable University policies and procedures.

POLICY HISTORY

Policy created: 05/05/2017 (Approved by the President’s Cabinet)
Revisions: 12/19/2023 (Approved by Senior Policy Council and the President)

      Lactation Policy

      Posted on by
      Title: UConn Lactation Policy
      Policy Owner: Human Resources and Office of Institutional Equity
      Applies to: Employees, Graduate Assistants, Students
      Campus Applicability: All Campuses, Including UConn Health
      Effective Date: 12/20/2016
      For More Information, Contact Human Resources and Student Health Services/Student Services
      Contact Information: Storrs/Regionals: (860) 486-3034 (HR) and (860) 486-0765 (SHS)
      UConn Health: (860) 679-2426 (HR and (860) 679-1364 (Student Services Center)
      Official Website: http://hr.uconn.edu/worklife/


      Reason for Policy

      The purpose of this policy is to provide employees and students who are breastfeeding a private place and reasonable break time to express breast milk for their nursing child.  This policy is in accordance with relevant laws and regulations regarding breastfeeding in the workplace.

      Applies to

      All breastfeeding employees and students on the Storrs, UConn Health and Regional campuses.

      Definitions:

      Lactation Area: A space on the University of Connecticut campus that is either dedicated or temporarily established to accommodate the needs of those who are breastfeeding. The room must be a clean, private (the ability to be shielded from view and free from intrusion), comfortable space with electrical outlet, chair, table for breast pump, and nearby access to clean running water.

      Lactation Breaks: Breaks during the work day for employees who have requested lactation accommodations.

      Policy Statement

      The University of Connecticut is committed to providing a supportive environment that enables employees and students to express breast milk in a private place, with reasonable break time and in a location within five minutes of their work and study areas.

      Consistent with Connecticut Laws (Chapter 939, Section 53-34b and Chapter 814c, Section 46a-64), a person may breastfeed their infant in any public or private location on campus where they and their child are authorized to be. This includes all campus locations open to the public and other campus locations where infants are allowed.

      Additionally, Connecticut law (Connecticut General Statutes, Section 31-40w) Breastfeeding in the Workplace states that employers must allow employees to breastfeed or express breast milk at work.

      Consistent with federal law, the University of Connecticut shall provide to employee breastfeeding persons reasonable break time (“lactation break”) as well as space that is shielded from view and free from intrusion in order to breastfeed their infants or to express breast milk.

      The University of Connecticut prohibits discrimination, harassment, and retaliation against breastfeeding persons who exercise their rights under this policy.  For more information, see University Policy Against Discrimination, Harassment and Related Interpersonal Violence.

      Enforcement

      Violations of this policy may result in appropriate disciplinary measures in accordance with University Policies and applicable collective bargaining agreements.

      Policy History

      Adopted 12/20/2016 (Approved by President’s Cabinet)

      Procedures

      Storrs and Regional Campuses: UConn Lactation Procedures

      UConn Health: UConn Health Lactation Procedures

       

      Policy on Endorsements

      Posted on by
      Title: Policy on Endorsements
      Policy Owner: University Communications
      Applies to: Faculty, Staff, Students, Others
      Campus Applicability: All Campuses
      Effective Date:  September 1, 2016
      For More Information, Contact University Communications
      Contact Information: (860) 486-3530
      Official Website: http://communications.uconn.edu/

      The University of Connecticut is committed to achieving excellence in research, graduate and undergraduate education, teaching and engagement.  The University has attracted national and international recognition for many successes across a wide range of disciplines.  As the University continues to grow and build on its many successes, members of the UConn community and external entities will continue to seek to associate themselves with UConn.

      As Connecticut’s flagship public university, the University must ensure that it associates itself with individuals, groups and organizations who share its values.  All units and employees of the University are responsible for ensuring that the University’s reputation and image are not affected by an improper external affiliation.

      The University’s Bylaws prohibit units and groups within the University, including at UConn Health and regional campuses, clinics, and centers, from authorizing any individual, group or organization that is not affiliated with the University to use the name of the University without the approval of the President or the President’s designee. Typically requests to use the name of the University come from businesses wishing to promote the nature of their business relationship with the University or from individuals, groups or organizations wishing to be recognized as a sponsor of the University or any of its activities.

      This requirement also applies to UConn employees and units at all locations. No employee or unit may endorse or promote a third-party business interest in the public domain in connection with their employment or service to the University without approval. This requirement includes providing quotes to or participating in interviews with a third-party about its product or service that would be used publicly.

      If you receive this type of request, or anything similar, you are required to notify University Communications for review.

      POLICY HISTORY

      Original Approval: February 3, 2016
      Effective Date: September 1, 2016
      Revision Approved by the President’s Cabinet: April 5, 2019

      Prevention and Reporting of Fraud and Fiscal Irregularities

      Posted on by
      Title: Prevention and Reporting of Fraud and Fiscal Irregularities
      Policy Owner: Executive VP for Administration and Chief Financial Officer
      Applies to: Faculty, Staff, and Others
      Campus Applicability: All
      Effective Date: March 23, 2016
      For More Information, Contact: EVP for Administration and CFO: (860) 486-3455
      UConn Health CFO: (860) 679-3162
      Audit and Management Advisory Services (860) 486-4526
      Official Website: http://evpacfo.uconn.edu/ 

      PURPOSE

      The University of Connecticut is committed to upholding the highest standards of honest behavior, ethical conduct, and fiduciary responsibility with respect to all assets of the University and assets entrusted to the University, including all funds, resources, and property. The purpose of this policy is both to inform the University community of each member’s responsibility to safeguard University resources and to establish standards for the reporting of suspected or known fraud or fiscal irregularities to the appropriate officials.

      This policy applies to all units of the University including Storrs and the Regional Campuses, Professional Schools and UConn Health.  It applies to members of the University community including faculty, staff, contractors, business associates, and others involved in the activities of the University.

      DEFINITIONS

      Fraud and fiscal irregularities generally involve an intentional or deliberate act, omission or concealment with the intent of obtaining an unauthorized benefit, such as money, property or other personal or business advantage, by deception or other unethical means.  Examples include, but are not limited to:

      • Misappropriation, misapplication, removal, or concealment of University property
      • Forgery, falsification, or alteration of documents and/or information (e.g., checks, bank drafts, deposit tickets, promissory notes, time cards, travel expense reports, contractor agreements, purchase orders, etc.)
      • Theft or misappropriation of funds, securities, supplies, inventory, or any other University assets including furniture, fixtures, equipment, data, and intellectual property
      • Billing customers, patients and third party payers for services when it is known that the services were not provided
      • Authorizing payment to vendors when it is known that the goods were not received or services were not performed
      • Misuse of University facilities, such as vehicles, telephones, mail systems, or computer-related equipment
      • Engaging in bribery, accepting kickbacks, or seeking unauthorized rebates
      • Actions related to concealing or perpetuating any fraud or fiscal irregularity


      POLICY STATEMENT

      All members of the University community are responsible for safeguarding University resources in their units and for ensuring that those resources are used for authorized purposes and in accordance with University rules and policies, and as required by applicable laws. In addition, all members of the University community should promptly report any known or suspected fraudulent activity or fiscal irregularities involving University and affiliated entity funds resources, property, or employees. Each unit manager should be familiar with the types of improprieties that might occur in the manager’s area of responsibility and ensure that all reasonable internal controls are in place and operating effectively to prevent and detect the occurrence of fraudulent activity or fiscal irregularities.

      Nothing in this policy relieves faculty and staff from reporting responsibilities under professional codes of conduct, licensing, or other requirements applicable to them individually or to their function.

      Process for Reporting Detected or Suspected Fraud and Irregularities

      Individual Reporting Obligations

      All members of the University community are obligated to report any known or suspected fraudulent activity or fiscal irregularities. Generally, an individual may discuss the concern directly with a supervisor. However, in the event that the individual is not comfortable speaking with the supervisor or is dissatisfied with the supervisor’s response, the individual should report the concern directly to Audit and Management Advisory Services (AMAS) and/or Campus Police.  Individuals should not investigate suspected fraudulent activity independently.

      Individuals who wish to report suspected fraudulent activity or fiscal irregularities anonymously may utilize the University’s REPORTLINE using the contact information below. The REPORTLINE is operated by a private (non-University) company. No effort is made to identify the person reporting and no trace of the call is performed. Information received is provided to Audit and Management Advisory Services for review and appropriate action. This service is available 24 hours a day, 7 days a week and is staffed by independent specialists trained to obtain complete and accurate information in a confidential manner. To contact the REPORTLINE:

      Phone:  All University campus including UConn Health: Phone: 1-888-685-2637
      Web reporting address: https://uconncares.alertline.com/gcs/welcome

      At a minimum, individuals should provide key information such as a description of the incident, the time frame in which the incident occurred, and names of individual(s) involved. Audit and Management Advisory Services will make every effort to handle all information received in a confidential manner, to the extent permitted by law.

      University policy prohibits retaliation when an individual reports, in good faith, suspected fraudulent activity or fiscal irregularities to any supervisor, faculty, administrator, AMAS, University Police, the REPORTLINE, or any appropriate agency outside of the University. An individual who believes he or she has been subjected to retaliation, should contact AMAS immediately.  This policy is not intended to preclude the reporting of suspected fraudulent activity or fiscal irregularities to appropriate external authorities[1].

      Institutional Obligations:

      Departments are obligated to notify Audit and Management Advisory Services of suspected or known fraudulent activity or fiscal irregularities as soon as they become known.   AMAS will evaluate the information provided and determine an appropriate strategy for investigating and resolving the allegation.   Additional University officials may be asked to conduct or participate in an investigation as appropriate. When sufficient facts and circumstances exist to establish a reasonable suspicion that fraudulent activity or fiscal irregularity has occurred, AMAS will consult with the Office of the General Counsel (Storrs, Regional Campuses and the Professional schools), Senior Counsel (UConn Health) and other University officials regarding federal, state and other external reporting requirements.

      ENFORCEMENT

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

      [1]Other Reporting Options:

      • State Auditors of Public Accounts

      The Whistle Blower Act, Section 4-61dd of the Connecticut General Statutes, authorizes the Auditors of Public Accounts to receive information concerning matters involving corruption, unethical practices, violation of State laws or regulations, mismanagement, gross waste of funds, abuse of authority or danger to the public safety occurring in any State department or agency. Upon receiving such information the Auditors are required to review such matter and report their findings and any recommendations to the Attorney General. The Auditors shall not, after receipt of any information from a person under the provisions of this section, disclose the identity of such person without his/her consent unless the Auditors determine that such disclosure is unavoidable during the course of the review. Complaints may be filed with the State Auditors:

        • by calling (959) 710-5605 or toll free at (800) 797-1702
        • by email at wbcomplaints@ctauditors.gov, or
        • in writing to:
          • Auditors of Public Accounts 165 Capitol Avenue, Hartford, CT 06106 Attention:  Maura Pardo, Administrative Auditor
      • Federal False Claims Act (31 U.S.C. § 3729-3733)

      This act permits a person with knowledge of fraud against the federal government to file a lawsuit on behalf of the government against those that committed the fraud. The person filing the lawsuit is also known as the “whistleblower” or “qui tam” plaintiff. The “qui tam” plaintiff must notify the United States Department of Justice (DOJ) of all information regarding the fraud. If the DOJ takes the case and fraud is proven the “qui tam” plaintiff is entitled to a portion of the money recovered by the federal government. Under the False Claims Act the “qui tam” plaintiff is protected from retaliation that may result from his or her involvement in the case. This is known as Whistleblower Protection.

      Protection of Minors and Reporting of Child Abuse and Neglect Policy

      Posted on by
      Title: Protection of Minors and Reporting of Child Abuse and Neglect, Policy on
      Policy Owner: Department of Human Resources
      Applies to: All personnel associated with the University including faculty, staff, volunteers, graduate and undergraduate students, interns, residents and fellows.
      Campus Applicability: All University campuses including Storrs, regional campuses, the Law School and UConn Health (University)
      Effective Date: August 9, 2018
      For More Information, Contact Minor Protection Coordinator / Department of Human Resources
      Contact Information: (860) 486-4510
      Official Website: http://hr.uconn.edu/minor-protection

      1.  Reason for Policy

      The University of Connecticut is committed to promoting a high quality, secure and safe environment for minors who are active in the University community. This policy and the accompanying procedures establish consistent standards intended to support the University in meeting its commitments to promote protection of minors who participate in activities sponsored by the University and to inform all members of the University community of their obligation to report any instances of known or suspected child abuse or neglect.

      2.  Applies to

      This policy applies to all University employees, including faculty, staff, volunteers, graduate and undergraduate students, interns, residents and fellows. Except as provided below, it also applies to any activity that takes place on University property or is sponsored by the University and is open to the participation of minors.

      This policy does not apply to: (1) events open to the public where parents/guardians or adult chaperones are expected to accompany and supervise their children; (2) undergraduate and graduate programs in which minors are enrolled for academic credit or have been accepted for enrollment for academic credit; (3) students who are dually enrolled in University credit-bearing courses while also enrolled in elementary, middle, and/or high school, UNLESS such enrollment includes overnight housing in University facilities; (4) minors employed by the University; (5) field trips or visits to the University that are solely supervised by a minor’s school or organization; (6) patient-care related activities relating to minors; (7) non-University programs undertaking activities in or on University land or facilities under the sole supervision of said program; (8) University programs that take place outside of the University under the supervision of a separate organization; (9) licensed child care facilities; and (10) other activities granted advance and written exemption from part or all of this policy.

      3.  Definitions[1]

      A. Authorized Adult: A University employee, student, or volunteer (paid or unpaid) who has (1) successfully passed a Background Screening within the last four years, (2) completed the University minor’s protection training within the last year, and (3) has been registered with the University’s Minor Protection Coordinator.

      B. University Sponsored Activities Involving Minors: A program or activity open to the participation of minors that is sponsored, operated, or supported by the University and where minors, who are not enrolled or accepted for enrollment in credit-granting courses at the University or who are not an employee of the University, are under the supervision of the University or its representatives.

      C. Background Screening: A criminal history search that is consistent with University criminal background check policies and that has been successfully completed within the past four years. Such criminal history search must include the following searches by a nationally recognized background check vendor:

      i.    Social Security Number verification/past address trace;

      ii.   federal criminal history record search for felony and misdemeanor convictions covering, at minimum, the last seven years in all states lived in;

      iii.   a statewide or county level criminal history record search for felony and misdemeanor convictions covering, at minimum, the last seven years in all states lived in; an;

      iv.   sex offender registry searches at the county level in every jurisdiction where the candidate currently resides or has resided.

      D. Child Abuse: A non-accidental physical injury to a minor, or an injury that is inconsistent with the history given of it, or a condition resulting in maltreatment. Examples include but are not limited to, malnutrition, sexual molestation or exploitation, deprivation of necessities, emotional maltreatment, or cruel punishment.

      E. Child Neglect: The abandonment or denial of proper care and attention (physically, emotionally, or morally) of a minor, or the permitting of a minor to live under conditions, circumstances, or associations injurious to the minor’s well-being.

      F. Minor: Any individual under the age of 18, who has not been legally emancipated.

      G. Mandated Reporter: An individual designated by the Connecticut law as required to report or cause a report to be made of Child Abuse or Child Neglect. All employees of the University, except student employees, are Mandated Reporters under state law.

      H. Minor Protection Coordinator: An individual designated by the University to develop procedures to implement this policy and best practices for the protection of minors involved in University Sponsored Activities Involving Minors, and to provide coordination, training, and monitoring in order to promote the effective implementation of this policy.

      4.  Reporting Child Abuse/Neglect

      Pursuant to state law, all University employees (except student employees) are Mandated Reporters of Child Abuse and/or Child Neglect and must comply with the reporting requirements in Connecticut’s mandated reporting laws. See Conn. Gen. Stat. §§17a-101a to 17a-101d.

      Connecticut state law, requires that reports of known or suspected child abuse or neglect be made orally, as soon as possible (but no later than 12 hours), to law enforcement or the Connecticut Department of Children and Families (DCF), and followed up in writing within 48 hours.

      DCF’s 24-hour hotline for reporting suspected Child Abuse or Child Neglect is (800) 842-2288, and additional guidance on these reporting requirements may be found here:

      https://portal.ct.gov/DCF/1-DCF/Reporting-Child-Abuse-and-Neglect (Last accessed July 23, 2018).

      University employees are protected under state law for the good faith reporting of suspected Child Abuse or Child Neglect, even if a later investigation fails to substantiate the allegations.

      In addition to this statutory reporting requirement, University employees must also comply with any other University policies that impose additional reporting obligations, such as the Policy Against Discrimination, Harassment, and Related Interpersonal Violence.

      5.  Requirements for University Sponsored Activities Involving Minors

      To better protect Minors participating in activities sponsored by the University, all University Sponsored Activities Involving Minors must meet the following requirements, in addition to any applicable federal, state, or local law, and all University policies. Please Note: A more comprehensive description of the following requirements are detailed in the accompanying procedures.

      A.   University Sponsored Activities Involving Minors must register with the University’s Minor Protection Coordinator with sufficient advance notice to confirm the requirements of this policy have been met.

      B.   No individual, paid or unpaid, shall be allowed to supervise, chaperone, or otherwise oversee any Minor who participates in University Sponsored Activities Involving Minors unless he or she is an Authorized Adult.

      C. All University Sponsored Activities Involving Minors must implement standards to safeguard the welfare of participating Minors. At minimum, all University Sponsored Activities Involving Minors must implement and comply with University standards of conduct included in the accompanying procedures.

      D. All University Sponsored Activities Involving Minors are subject to periodic audits to verify compliance with this policy and the accompanying procedures.

      E. Any exceptions to these requirements must be requested with sufficient notice and approved in writing by the Minor Protection Coordinator, in consultation with Minor Protection Oversight Committee prior to the start of program operations.

      6.  Enforcement

      Violations of this policy and accompanying 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, and applicable Student Code.

      Policy History

      Policy Created: April 1, 2016 [Approved by the President’s Cabinet]

      Revisions:  August 9, 2018

      Procedures

      Procedures for the Protection of Minors and Reporting of Child Abuse and Neglect can be found at: http://minorprotection.uconn.edu/wp-content/uploads/sites/1652/2016/03/Procedures-for-the-Protection-of-Minors-and-Reporting-of-Child-Abuse-and-Neglect.pdf. 

       

      Footnotes

      [1] Several of these definitions are adapted in whole or in part from the Connecticut General Statutes. See Conn. Gen. Stat. § 120. For additional guidance from the Connecticut Department of Children and Family Services about the definitions of child abuse and neglect, see https://portal.ct.gov/DCF/1-DCF/Reporting-Child-Abuse-and-Neglect. (Last accessed 7/23/2018.) Back

      Export Control and Economic Sanctions Policy

      Posted on by
      Title: Export Control and Economic Sanctions Policy
      Policy Owner: Office of the Vice President for Research
      Applies to: Faculty, Staff, Students, Others
      Campus Applicability:  All
      Effective Date: 12/14/2015
      For More Information, Contact Research Compliance Services
      Contact Information: exportcontrol@uconn.edu, or (860) 486-8704
      Official Website: https://ovpr.uconn.edu/services/rics/export-control/

      REASON FOR POLICY

      Export control and economic sanctions regulations aim to protect the national security, foreign policy, and economic interests of the United States.  Export control regulations govern how certain information, technologies, and commodities can be transmitted overseas or to a foreign national on U.S. soil, whereas economic sanctions regulations restrict transactions with certain countries, institutions, and individuals. The scope of the these regulations is broad: they cover exports in virtually all fields of science, engineering, and technology, apply to research activities regardless of the source of funding, and impose restrictions on activities by U.S. persons that occur outside the United States. Failure to comply with these laws can have serious consequences, both for the institution and for the individual researcher. The potential penalties include fines and imprisonment. These laws are collectively referred to as “Export Control Laws.”

      The University of Connecticut (UConn) encourages and supports open research and the free exchange of ideas. Although most university activities and research are exempt from export control laws, UConn engages in activities, research, and the development of new technologies that are subject to Export Control Laws. UConn has established the procedures necessary to ensure the university and its employees remain in full compliance.

      APPLIES TO 

      This policy applies to all faculty, staff, students, researchers, and all other individuals working at the University of Connecticut Storrs, Regional Campuses, and UConn Health.

      POLICY STATEMENT

      UConn is committed to compliance with Export Control Laws, including those implemented by the U.S. Department of Commerce through its Export Administration Regulations (EAR), the U.S. Department of State through its International Traffic in Arms Regulations (ITAR), as well as embargo regulations imposed by the U.S. Treasury Department through its Office of Foreign Assets Control (OFAC).

      The Office of the Vice President for Research (OVPR) is the designated authority charged with compliance oversight of the U.S. export control and economic sanctions requirements for UConn and has final authority on such matters. Research Compliance Services, an office within OVPR, is the functional administrative unit charged with the responsibility for oversight of export control and economic sanctions compliance and recordkeeping.

      Individuals acting on behalf of the University, including faculty, staff and students, are responsible for complying with applicable Export Control Laws, including requirements related to international travel, the proper handling, transfer, access, storage, control, and dissemination of export controlled hardware, software, information, technology, and technical data to destinations and persons outside of the U.S., as well as in some cases, to foreign nationals at the university engaging in instruction, conducting research, or providing service activities.

      The University typically conducts fundamental research in basic and applied science or engineering, which is widely and openly published and made available to the scientific and academic community. This allows for the Fundamental Research Exclusion, which means the research results are exempt from Export Control Laws. But Export Control Laws could apply if the research is not considered fundamental research, or if the research has restrictions on publication, foreign national participation, or restricted access to/disclosure of research results.  Please contact Research Compliance Services if you have any questions on whether or not Export Control Laws apply to your particular activity.

      In order to comply with Export Control Laws applicable to international travel, the University will not permit or support travel to any country subject to a comprehensive U.S. Government embargo (as set forth in the UConn International Travel procedure, unless the travel falls within the scope of a license or exception granted by law and is reviewed in advance and approved in writing by the OVPR Senior Export Control Officer under this policy and the export control compliance protocols and procedures available online at: https://ovpr.uconn.edu/services/rics/export-control/.

      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.

      The civil and criminal penalties associated with violating Export Control Laws can be severe, ranging from administrative sanctions including loss of research funding, to monetary penalties, and imprisonment. Anyone found to have engaged in conduct contrary to this policy is subject to disciplinary action by the university up to and including dismissal or expulsion and civil or criminal prosecution.

      PROCEDURES

      Export control compliance protocols and procedures are available online at: https://ovpr.uconn.edu/services/rics/export-control/.

      POLICY HISTORY

      Policy created: 12/14/2015 (Approved by the Vice President for Research)

      Revision History:

      1/12/2016 (Approved and Adopted by the UConn Health Policy Committee)
      7/3/2018 (Non-Substantive edits per the Office of General Counsel)
      9/18/2018 (Non-Substantive edits per the Office of General Counsel)

      Office of Treasury Services Policy and Procedure Manual

      Posted on by
      Title: Office of Treasury Services Policy and Procedure Manual
      Policy Owner: Office of the Associate Vice President of Financial Operations and Controller
      Applies to: Faculty, Staff, State, Public and Private Entities
      Campus Applicability:  All University Campuses
      Effective Date: March 2013
      For More Information, Contact Associate Vice President of Financial Operations and Controller
      Contact Information: www.controller.uconn.edu
      Official Website: http://ots.uconn.edu/ 

      EXECUTIVE SUMMARY The Office of Treasury Services (“OTS”) serves as UConn’s public finance department, and professionally and prudently issues, invests and disburses UCONN 2000 bond funds, and also acts as the compliance department for UCONN 2000 and other tax-exempt debt pursuant to the rules and regulations of the Internal Revenue Service, the Securities and Exchange Commission, the Municipal Securities Rulemaking Board, State Law, and other entities. OTS’ clients include the University, the State Government, and Connecticut taxpayers. OTS strives to promote public confidence in the University’s Treasury Operations and the UCONN 2000 bonds through effective management of resources, high standards of professionalism and integrity, and skillfully acting on opportunity for the University’s debt programs in the public and private markets. These policies and procedures may apply to faculty, staff, and private entities and other on all University of Connecticut campuses. The policies and procedures listed below are not meant to be exhaustive.

      Policies and Procedures

      Debt Investment and Disbursements OTS actively manages the issuance of UCONN 2000 debt programs, including supplemental indenture authorization, bond issuance, disposition, bank account creation, deposits, investments and disbursements of UCONN 2000 debt proceeds totaling billions of dollars pursuant to the indentures, state law, the U.S. Internal Revenue Service, the Securities and Exchange Commission and other regulatory requirements. For further information please visit:

      Investment Responsibilities A major responsibility of OTS is to invest bond funds with the objective of realizing risk adjusted investment return, consistent with the legal, safety, liquidity, tax-exempt and indenture compliance; and other constraints. For further information please visit:

      Indenture Compliance While compliance is ultimately the responsibility of Senior Management, OTS working with bond counsel and others, performs much of the UCONN 2000 debt program’s compliance function including compliance with the General Obligation and Special Obligation Indentures.

      The Master Indentures are available on the following links:

      Tax-Exempt Debt Compliance – Including Ongoing Ongoing Compliance responsibilities include overseeing the required IRS, SEC, Indenture and other compliance. OTS has been delegated the responsibility to make the Municipal Service Rulemaking Board disclosure filings, and performing the appropriate Electronic Municipal Market Access system filings pursuant to the MSRB and SEC rules and regulations. OTS works closely with the Office of the State Treasurer and bond counsel on disclosure. For further information please visit:

      Other Connecticut General Statute Compliance Treasury Services works with the UConn and UConn Health’s Initiating Department, General Counsel, and the UConn Health, the Office of the State Treasurer, and Attorney General’s Office for the sales or leases of assets including land pursuant to Conn. Gen. Stat. 4-b 38(g) and the tax compliance of any UCONN tax-exempt debt (including lease financings), pursuant to Connecticut General Statutes 3-20d. For further information please visit: