Office of the VP for Enrollment Management & Planning

Recruitment of Students, Policy On

Title:  Recruitment of Students, Policy On 
Policy Owner: The Division of Enrollment Planning & Management 
Applies to: University Employees, Volunteers, Trainees and Others 
Campus Applicability: All Campuses 
Effective Date: August 23, 2021
For More Information, Contact Office of the Vice President for Enrollment Planning & Management 
Contact Information: (860) 486-1463 
Official Website: https://epm.uconn.edu/

PURPOSE

To ensure compliance with federal laws and regulations regarding ethical recruitment and enrollment activities conducted at the University. Specifically, Section 487(a)(20) of the Higher Education Act (HEA) and its implementing regulations at 34 C.F.R. 668.14, as well as the University’s Memorandum of Understanding with the Department of Defense.

APPLIES TO

Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for UConn, is under the direct control of UConn, whether or not they are paid by UConn. 

DEFINITIONS

Commission, Bonus, Incentives means a sum of money or something of value, other than a fixed salary or wages, paid to or given to a person or an entity for services rendered.  

Securing enrollments or the award of financial aid means activities that a person or entity engages in at any point in time through completion of an educational program for the purpose of the admission or matriculation of students for any period of time or the award of financial aid to students.

These activities include contact in any form with a prospective student, such as, but not limited to – contact through preadmission or advising activities, scheduling an appointment to visit the enrollment office or any other office of the institution, attendance at such an appointment, or involvement in a prospective student’s signing of an enrollment agreement or financial aid application.

These activities do not include making a payment to a third party for the provision of student contact information for prospective students provided that such payment is not based on: (1) any additional conduct or action by the third party or the prospective students, such as participation in preadmission or advising activities, scheduling an appointment to visit the enrollment office or any other office of the institution or attendance at such an appointment, or the signing, or being involved in the signing, of a prospective student’s enrollment agreement or financial aid application; or (2) the number of students (calculated at any point in time of an educational program) who apply for enrollment, are awarded financial aid, or are enrolled for any period of time, including through completion of an educational program. 

“Entity or person engaged in any student recruitment or admission activity or in making decisions about the award of financial aid” means (1) with respect to an entity engaged in any student recruitment or admission activity or in making decisions about the award of financial aid, any institution or organization that undertakes the recruiting or the admitting of students or that makes decisions about and awards Title IV, HEA program funds; and (2) with respect to a person engaged in any student recruitment or admission activity or in making decisions about the award of financial aid, any employee who undertakes recruiting or admitting of students or who makes decisions about and awards Title IV, HEA program funds, and any higher level employee with responsibility for recruitment or admission of students, or making decisions about awarding Title IV, HEA program funds. 

Enrollment means the admission or matriculation of a student into an eligible institution. 

Inducement means any gratuity, favor, discount, entertainment, hospitality, loan, transportation, lodging, meals, or other item have a monetary value or more than a de minimis amount to any individual, entity, or its agents including third party lead generators or marketing forms. 

Service Member means a current or former member of the uniformed services which includes (a) the armed forces; (b) the commissioned corps of the National Oceanic and Atmospheric; and (c) the commissioned corps of the Public Health Service. 

POLICY STATEMENT

The University of Connecticut prohibits the award of any commission, bonus or other incentive payment based in any part, directly or indirectly, upon success in securing enrollments or the awarding of financial aid, to any person or entity who is engaged in any student recruitment, admission activities, or making decisions regarding the awarding of financial assistance.   In accordance with the HEA, this restriction does not apply to the recruitment of foreign students residing in foreign countries who are not eligible to receive Federal student assistance. 

In addition, in accordance with the Department of Defense Memorandum of Understanding, the University will refrain from high-pressure recruitment tactics aimed at Service Members, which includes making multiple unsolicited contacts (3 or more) including contacts by phone, email, or in-person, and engaging in same-day recruitment and registration for the purpose of securing Service Member enrollments. 

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

PROCEDURES/FORMS
Contact the Division of Enrollment Planning and Management with questions 

POLICY HISTORY

Policy created effective: August 23, 2021 [Approved by President’s Senior Team]

Revisions:  November 11, 2021 [Approved by the President]

 

Assignment of Instructional Space

ASSIGNMENT OF INSTRUCTIONAL SPACE

The University of Connecticut values excellence in teaching and learning. Fulfillment of this mission requires appropriate instructional facilities. Instructional facilities include all seminar rooms, classrooms, lecture halls, auditoria, and similar spaces primarily dedicated to the execution of the University’s formal instructional activities. Efficient use of these facilities plays a crucial role in providing our growing number of students with the classes they need to graduate on time.

PURPOSE

The By-Laws of the University of Connecticut authorize the Provost and Executive Vice President for Academic Affairs to “direct the assignment of all plant facilities, including buildings, offices, classrooms, laboratories, equipment, and land, and establish uniform rules pertaining to their proper use for all areas under his/her jurisdiction” (VII.B.2.q). This procedure represents the Provost’s formal delegation of authority to assign instructional space, excluding laboratories, on the Storrs campus and establish uniform rules to their assignment and use on all campuses, excluding UConn Health, to the Office of the Registrar. The appropriate School or College has the authority to assign laboratory space under its jurisdiction, and regional campus directors have the authority to assign all instructional space on their campus. The Provost retains the authority to direct the assignment of instructional facilities, and may modify this procedure at any time.

This document articulates the criteria and procedures by which instructional facilities (hereafter “classrooms”) are assigned. The procedure will be reviewed at 3-year intervals at minimum or as deemed appropriate by the Office of the Registrar, the Office of the Provost, and the Classroom Management Committee.

This procedure applies to all campuses except UConn Health.

ASSIGNMENT CRITERIA

Each semester, the Registrar considers the full range of needs for classrooms and accounts for the numbers, sizes, and types of classes, as well as requirements for instructional technology and other special equipment and materials. The Registrar determines how to meet these needs as closely as possible across the entire University to achieve appropriate room use and seat occupancy.

Once the needs of all classes university-wide are met, the Registrar’s Office will make its best effort to accommodate the preferences of academic departments and individual faculty members.

To the greatest extent possible, the Registrar will give academic departments priority for classrooms located in or near their buildings or that have configurations that are especially well-suited to their needs.

SCHEDULE

Classes at all campuses, except UConn Health, will conform to a standard schedule, as follows.

 

50 minutes – M W F 75 minutes – T/Th
8:00 – 8:50 AM 8:00 – 9:15 AM
9:05 – 9:55 AM 9:30 – 10:45 AM
10:10 – 11:00 AM 11:00 – 12:15 PM
11:15 – 12:05 PM 12:30 – 1:45 PM
12:20 – 1:10 PM 2:00 – 3:15 PM
1:25 – 2:15 PM 3:30 – 4:45 PM
2:30 – 3:20 PM
3:35 – 4:25 PM
4:40 – 5:30 PM

 

The Registrar will make use of the full business week (Monday – Friday) and the full day (8:00 a.m. – 10:00 p.m.) to best accommodate scheduling needs university-wide. If needs dictate, classes may be scheduled on Saturday and Sunday. Classrooms are closed and unavailable for use between the hours of 11:00 p.m. – 6:00 a.m. to facilitate security, maintenance, and cleaning, unless an exception is granted by the Registrar’s Office or the regional campus director.

The Registrar will endeavor to accommodate the preferences of academic departments and individual faculty members with respect to the times their classes are scheduled; however, accommodations may not be possible. In such cases, the Registrar will work with the appropriate department head to negotiate a time and location. Ultimately, the Registrar will make a determination about when and where classrooms may be scheduled.

Classes that begin after 5:30 p.m. on Mondays, Wednesdays, and Fridays, or after 4:45 p.m. on Tuesdays and Thursdays, or anytime on Saturdays and Sundays may deviate from the standard schedule.

On rare occasions, classes with extenuating circumstances may deviate from the standard schedule with the permission of the Registrar and if applicable, regional campus director and with the concurrence of the Provost.

Instructors must conduct their classes at the scheduled time(s) and in the assigned location(s) to avoid disruption to students. In cases where an altered time or location may be warranted, the faculty member must first consult with the Registrar and then is responsible for notification of all students.

In cases where the instructor determines that the appropriate form of assessment should take place during finals week, the instructors must hold their exams at the time and location scheduled by the Registrar. [Please refer to section II.E.10, Examinations and Assessments, in the By-Laws, Rules, and Regulations of the University Senate.]

PROCEDURES

The Registrar solicits information about proposed course offerings and instructional needs, including departmental requests for the timing and location of classes, before each semester. The Registrar publishes this schedule prior to the start of pre-registration for the upcoming semester.

After the needs of regularly scheduled classes are met, the Registrar will make classrooms available to accommodate other activities and events. Other instructional uses (e.g., review and help sessions, seminars, etc.) will take priority over non-instructional uses, such as meetings or events. Units can contact the Registrar’s Office or the regional campus director with these requests.

All classroom scheduling will be managed through the room scheduling software system. All academic units can access this system to see when and where classes are scheduled and what rooms may be available. The audiovisual equipment in the classrooms is for scheduled use only, and a reservation is required. The location and capacity of classrooms for the Storrs campus is available and reservations can be made at http://classrooms.uconn.edu. Reservations for a classroom at a regional campus can be made by contacting the campus director.

Classroom maintenance is the joint responsibility of University Information Technology Services (UITS) for instructional technology and Facilities Operations and Building Services for problems with the physical plant and furniture. The Registrar will assess the need for repairs and communicate to these organizations. Faculty who observe problems in classrooms should report them to the Registrar through their department head, dean, or campus director.

In collaboration with Planning Architectural and Engineering Services, the Center for Students with Disabilities strives to create a comprehensively accessible environment where students with disabilities have full access to programs, activities, and services. Detailed information about access for buildings on the Storrs campus is available at: https://accessibility.uconn.edu/campus-access/. Departments or individuals that have concerns about access should contact the Center for Students with Disabilities, and they will collaborate with the Registrar or the regional campus director to assure appropriate accommodations are available.

CLASSROOM MANAGEMENT COMMITTEE

The Registrar is guided by a Classroom Management Committee, an advisory group established by the Provost to oversee instructional facilities at all campuses of the University of Connecticut, except UConn Health. Requests for any classroom renovation, either physical or technical, must be made through the Registrar’s office and vetted and approved by the Classroom Management Committee.  Membership of the committee includes representatives from the faculty, UITS, Office of Campus Planning, Planning Architectural and Engineering Services, Office of the Registrar, Center for Excellence in Teaching and Learning, Facilities Operations and Building Services, Center for Students with Disabilities, and the Fire Marshal.

Procedure History

Effective Date: August 2017

 

Satisfactory Academic Progress Policy

Title: Satisfactory Academic Progress Policy
Policy Owner: Office of Student Financial Aid Services
Applies to: Students
Campus Applicability:  Storrs and Regionals
Effective Date: July 1, 2011
For More Information, Contact Office of Student Financial Aid Services
Contact Information: 860-486-2819
Official Website: http://financialaid.uconn.edu/sap/

 

Satisfactory Academic Progress (SAP) is a standard used to measure a student’s successful completion of coursework toward a degree. The University of Connecticut is required via federal regulation to establish a reasonable satisfactory academic progress policy to determine whether an otherwise eligible student is making SAP in his or her educational program. Students who are found to be in violation of the parameters set forth by the SAP policy are ineligible to receive most forms of federal, state, and institutional financial aid. The parameters set forth by the SAP policy at the University of Connecticut are located at http://financialaid.uconn.edu/sap/.

Reporting Name and Address Changes

Title: Reporting Name and Address Changes
Policy Owner: Registrar’s Office
Applies to: Students
Campus Applicability:  Storrs and Regional Campuses
Effective Date:  November 1, 2002
For More Information, Contact Office of the Registrar
Contact Information:  (860) 486-3331
Official Website: http://registrar.uconn.edu/

Undergraduate students must report any change of name and commuting or permanent address at the time such change occurs to the Office of the Registrar. Name changes require official documentation. Changes made by the Registrar’s staff will update the information that appears on the University websites Directory of students’ names and addresses.

Please contact the Registrar’s Office at 486-3331 with any questions.

Financial Aid Code of Conduct

Title: Financial Aid Code of Conduct
Policy Owner: Board of Trustees
Applies to: Faculty, Staff, Others
Campus Applicability: All Campuses
Effective Date: January 22, 2008
For More Information, Contact Director, Financial Aid Office
Contact Information: (860) 486-2470
Official Website: http://financialaid.uconn.edu/

 

  1. Definitions
    1. “Lending Institution” or “Lender” shall mean (i) any entity that itself, or through an affiliate, engages in the business of making loans to students, parents or others for purposes of financing higher education expenses or that securitizes such loans, or (ii) any entity, or association of entities, that guarantees education loans. “Lending institution” or “Lender” shall not include the University or the state or federal government.
    2. “University” shall mean the university, college, professional trade school or other entity providing post-secondary education that adopts this Code of Conduct.
    3. “Opportunity Loans” shall mean loans to international students or other students who, because they have poor or no credit history, do not have access to student loans on reasonable terms.
    4. “Compensation” shall mean anything of value including, but not limited to, money, credits, loans, discounts, payments, fees, forgiveness of principal or interest, reimbursement of expenses, charitable contributions, stock options, consulting fees, educational grants, vacations, prizes, gifts or other items of value, whether given directly or indirectly.
    5. “Trade Association” shall mean any higher education, financial aid, lending or banking trade, industry or professional association that receives Compensation within the preceding 12-month period from any Lending Institution or Lender.  The Connecticut Conference of Independent Colleges shall not be deemed to be a “trade association” solely by virtue of its contract to administer the Connecticut Higher Supplemental Loan Authority (“CHESLA”).
    6. “Outside Director” shall mean a member of a Lender’s Board of Directors or Board of Trustees who receives Compensation from such Lender in connection with his or her service on the Board of Directors or Board of Trustees and who receives no other compensation from the Lender as an officer, employee, or agent of the Lender or otherwise.
    7. “Agent” shall mean a person acting as a representative of and at the direction of or under the control of a University where such person’s responsibilities with respect to the University relate primarily to the University’s activities involving financial aid or the business of higher education loans.
  2. Code of Conduct
    1. Prohibition of Certain Compensation to University Employees
      1. No University trustee, director, officer, or Agent, or any employee who is employed in the financial aid office of the University or who otherwise has responsibilities with respect to higher educational loans or other financial aid at his or her University, and no spouse or dependent children of any such persons (“Family Member”), shall accept any Compensation of more than nominal value (not to exceed the gift  limits established in the State Code of Ethics), directly or indirectly, during any 12-month period from or on behalf of a Lending Institution or Trade Association, except that this provision shall not be construed to prohibit any officer, trustee, director, Agent or employee of the University, or any of their Family Members, from receiving Compensation for the conduct of non-University business with any Lending Institution or Trade Association or from accepting Compensation that is offered to the general public, if such Compensation is permitted pursuant to the State Code of Ethics.
      2. Notwithstanding the prohibitions in subsection II.A.1 or any other provision of this Code of Conduct: (a) The University may hold membership in any nonprofit professional association; (b) A University trustee, director, officer, or employee who does not have responsibilities with respect to higher educational loans or financial aid, may serve as an Outside Director of a Lending Institution or Trade Association and receive Compensation at the Lending Institution’s or Trade Association’s established compensation rates for Outside Directors, provided that any University trustee, director, officer or employee serving on the board of the Lending Institution or Trade Association is precluded from participating in such board’s discussions or decisions that might affect the interests of the University, and provided further that such University trustee, director, officer or employee complies with the University’s conflict of interest policy, and receives annual written notice of the requirements of both this Code of Conduct and the University’s conflict of interest policy.  Further, notwithstanding the prohibitions in subsection II.A.1, a trustee, director, officer or employee of a Lending Institution or Trade Association who does not have responsibilities with respect to higher education loans or financial aid shall not be prevented from serving on the Board of Directors of a University solely by virtue of his or her position with the Lending Institution or Trade Association, provided that any such person serving on the board of the University is precluded from participating in such board’s discussions or decisions that might affect the interests of such Lender or Trade Association or that relate to financial aid or higher education loans.
      3. Nothing in this Code of Conduct shall be construed to conflict with the requirements of Connecticut General Statutes ?10a-201 et seq., including without limitation ?10a-203(a), and ?10a-221 et seq.
      4. The prohibitions set forth in this subsection II.A shall include, but not be limited to, a ban on any payment or reimbursement by a Lending Institution or Trade Association to a University employee or Family Member for lodging, meals, or travel to conferences or training seminars unless such payment or reimbursement is related solely to non-University business  University employees whose duties relate to financial aid may accept food or refreshments of nominal value provided or paid for by a Lender or Trade Association at a meeting, conference or seminar related to their professional development or training, as permitted pursuant to the State Code of Ethics.  University employees are not precluded from attending any educational or training program related to financial aid or higher education loans where no registration fee is charged to any attendee because of a Lender’s or Trade Association’s sponsorship or support of the program, and provided that the registration fee is limited to covering the costs associated solely with the education or training component of the program, if permitted pursuant to the State Code of Ethics.
    2. Limitations on University Employees Participating on Lender Advisory Boards No University officer, trustee, director, Agent or employee, or any of their Family Members, shall serve on an advisory board for a Lender.  Lenders can obtain advice and opinions of financial aid officials on financial aid products and services through Trade Associations, industry surveys or other mechanisms that do not require service on Lender advisory boards and provided such person receives no Compensation for such service.  This provision shall not apply to participation on advisory boards that are unrelated in any way to financial aid or higher education loans.
    3. Prohibition of Certain Compensation to the University
      1. Neither the University, nor any alumni association, booster club, foundation, athletic organization, social organization, academic organization, professional organization or other organization affiliated with the University (“Affiliated Organizations”), may accept any Compensation from any Lending Institution or Trade Association in exchange for any advantage or consideration provided to the Lending Institution or Trade Association related to the Lending Institution’s or Trade Association’s financial aid or education loan activity.  This prohibition shall include, but not be limited to (i) revenue sharing by a Lending Institution or Trade Association with the University or Affiliated Organizations, (ii) the receipt by the University or Affiliated Organizations from any Lending Institution or Trade Association of any equipment or supplies, including without limitation, computer hardware and software, for which the University pays below-market prices, and (iii) printing costs or services, provided that a University or Affiliated Organizations shall not be prohibited from accepting a Lender’s or Trade Association’s own standard printed brochures or informational material that does not contain the University’s logo or otherwise identify the University.
      2. Notwithstanding anything else in this subsection II.C., the University may accept assistance comparable to the kinds of assistance provided by the Secretary of the U.S. Department of Education to schools under or in furtherance of the Federal Direct Loan Program.
      3. Nothing in this subsection shall prohibit a University from accepting endowment gifts, capital contributions, scholarship funding, or other financial support from a Lender or Trade Association, so long as the University gives no competitive advantage or preferential  treatment to the Lender or Trade Association related to its education loan activity in exchange for such support.
    4. Preferred Lender Lists
      In the event that the University promulgates a list of preferred or recommended lenders or similar ranking or designation (“Preferred Lender List”), then:

      1. Every brochure, web page or other document that sets forth a Preferred Lender List must clearly disclose, textually or by clearly designated hyperlink,  the process by which the University selected Lenders for said Preferred Lender List, including but not limited to the criteria used in compiling said list and the relative importance of those criteria; and
      2. Every brochure, web page or other document that sets forth a Preferred Lender List or identifies any Lender as being on said Preferred Lender List shall state in the same font and same manner as the predominant text on the document that students and their parents have the right and ability to select the education loan provider of their choice, are not required to use any of the Lenders on said Preferred Lender List, and will suffer no penalty from the University for choosing a Lender that is not on said Preferred Lender List;
      3. The University’s selection of Preferred Lenders and the University’s decision as to where or how prominently on the list the Lending Institution’s name appears shall be based solely on the best interests of student and parent borrowers, utilizing stated criteria that are limited to benefits provided to borrowers (such as competitive interest rates and repayment terms, quality of loan servicing, and whether loans will be sold) and the ability to work efficiently and effectively with the University to process loans, without regard to the pecuniary interest of the University or to any benefits provided by Lending Institutions to the University or any of the University’s officers, trustees, directors, Agents or employees or their Family Members.  The University’s selection of any Preferred Lender shall be limited to the types of loans for which that Lender has been selected, based on the benefits to the borrower for those types of loans, and the University’s Preferred Lender list shall indicate the types of loans for which each Lender has been selected as a Preferred Lender.  Nothing in this provision is intended to restrict the University’s ability to exercise its discretion in making its own, final judgment about which lenders best meet the University’s criteria and the needs of its student and parent borrowers.
      4. The University shall review its Preferred Lender List at least annually;
      5. The University shall require that all Preferred Lenders commit, in writing to disclose to the borrower, at the time a loan is issued: (a) whether the loan may be sold to another Lender; (b) that the loan terms and benefits will not change if the loan is sold to another Lender;   and (c) that the loan benefits may change if the borrower chooses to consolidate his or her loans; and
      6. The University shall ensure that any Preferred Lender list that it publishes to students contain no less than three (3) Lending Institutions.
    5. Prohibition of Lending Institutions’ Staffing of University Financial Aid Offices
      1. No employee or other agent of a Lending Institution may staff the University financial aid offices at any time.  The University shall ensure that no employee or other representative of a Lending Institution is ever identified to students or prospective students of the University or their parents as an employee or agent of the University.  The foregoing prohibitions notwithstanding, if the University believes that it would benefit students, the University may allow representatives of Lenders to conduct informational sessions, such as exit interviews and presentations on loan payment and loan consolidation options, so long as: (a) student attendance is voluntary; (b) a University representative explains that other Lenders may provide similar services;  (c) the affiliation of the Lender representative is disclosed at the start of the presentation; (d)  the Lender representative does not promote the products or services of any Lender, and (e) the University takes reasonable steps to ensure compliance with the requirements of this paragraph.
      2. In the event that the University permits a Lender to conduct information sessions or exit interviews as set forth in subsection E.1. above, the University must retain control of any interview or presentation offered by Lenders.  Control may be evidenced by: (a) a University employee attending such interview or presentation; (b) the University recording or videotaping the interview or presentation; or (c) with respect to an exit interview conducted electronically via the internet, the University creating or approving in advance the content of such electronic exit interview.
    6. Proper Execution of Master Promissory Notes The University shall not link or otherwise direct potential borrowers to any electronic Master Promissory Note or other loan agreement unless the Master Promissory Note or agreement allows borrowers to enter the Lender code or name for any Lender offering the relevant loan or the University’s link to the electronic Master Promissory Note or agreement informs borrowers of alternative means of entering into a Master Promissory Note or agreement with any Lender of the borrower’s choice.  Any information the University provides to borrowers about completing a Master Promissory Note or agreement with a Preferred Lender must provide the information required in subsections II.D.1 and II.D.2 above.
    7. Requirements for Opportunity Loans The University may enter into arrangements with Lenders to provide Opportunity Loans to students whose credit rating would otherwise preclude them from obtaining loans with reasonable rates and terms.  The University may enter into such arrangements with a Preferred Lender after the University has selected Preferred Lenders in accordance with the provisions of Section II.D above, or it may use a separate process for selecting Lenders to provide Opportunity Loans, so long as that process also complies with the provisions of Section II.D. above.  The University shall not request, accept, solicit or consider a Lending Institution’s offer to provide any Opportunity Loans in exchange for the University providing concessions, benefits or promises to the Lender.
    8. Revolving Door Prohibition
      1. In the event a University hires an employee who will be employed in the financial aid office of the University or who otherwise will have responsibilities with respect to higher educational loans or other financial aid and such employee was employed by a Lender during the 12 month period prior to the date of hire by the University, such employee shall be prohibited from having any dealings or interactions with such Lender on behalf of the University for a period of 12 months from the date such employee’s employment with the Lender was terminated.
      2. In the event a Lender hires an employee who was employed by the University during the 12-month period prior to the date of such employee’s hire by the Lender, the University shall be prohibited from having any dealings or interactions with such employee for a period of 12 months from the date such employee’s employment with the University was terminated.

Policy History

Approved by the Board of Trustees on January 22, 2008
Reviewed September 21, 2018

FERPA Policy

Title: FERPA Policy
Policy Owner: Office of University Compliance and Registrar
Applies to: Faculty, Staff, Students, Others
Campus Applicability:  All Campuses
Effective Date: August, 2016
For More Information, Contact University Privacy Officer
Contact Information: (860) 486-4805 | privacy@uconn.edu
Official Website: http://ferpa.uconn.edu/

FERPA Policy

Policy Statement on Protection of Rights and Privacy of Students

A.    Definitions: As used in this policy, the following terms have the following meanings.

      1. Alleged Perpetrator of a Crime of Violence: A student who is alleged to have committed acts that, if proven, would constitute any of the following offenses or attempts to commit the following offenses: arson; assault offenses; burglary; criminal homicide (manslaughter and murder); destruction, damage, or vandalism of property; kidnapping or abduction; robbery; and/or sexual assault.
      2. Attendance:  Participation in University course(s) in person, or via paper correspondence, videoconference, satellite, Internet, or other electronic information and telecommunications technologies for students who are not physically present in the classroom.  It also includes the period during which a person is working under a work-study program.
      3. Dates of Attendance: The period of time during which a student attends or attended the University. The term does not include specific daily records of attendance.
      4. Directory Information: Information contained in an Education Record of a student that by itself would not generally be considered harmful or an invasion of privacy if disclosed. Directory information includes: the student’s name; date of birth; addresses (including but not limited to physical address and email address); telephone number; PeopleSoft Number, NetID; school or college; major field of study; degree sought; student level (freshman, sophomore, etc.); degrees, honors, and awards received; residency/match information (for medical and dental students); dates of attendance; participation in officially recognized activities and sports, weight and height of athletic team members and other similar information including performance statistics, photographic likenesses and video of athletic team members; for student employees, employing department and dates of employment.
        The University reserves the right to amend this listing consistent with federal law and regulations and will notify students of any amendments by publication in the Annual FERPA Notification.  Directory Information may only be disclosed in accordance with the provisions outlined in Section D. below.
      5. Disclosure Logs: Documents maintained by the appropriate University records custodians that records for each request for and each disclosure of Personally Identifiable Information of a student, and that indicates everyone who has requested or obtained Personally Identifiable Information and their legitimate interests in obtaining it (other than those enumerated in section F. below).
      6. Education Records: Any records maintained in any form or medium by the University that are directly related to a student.
      7. FERPA: Family Educational Rights and Privacy Act, 20 U.S.C. sec. 1232g, et seq. as amended, and the regulations at 34 C.F.R. Part 99.
      8. Hearing Body:
        1. Storrs and Regional Campuses:  One or more persons assigned by the Vice President of Student Affairs or designee to determine whether an educational record is inaccurate, misleading or otherwise in violation of the student’s privacy rights, and therefore should be amended or deleted from the student’s records.
        2. University of Connecticut Health Center (UCHC): One or more persons assigned by the Dean of Students for each school (Medical and Dental) or designee to determine whether an educational record is inaccurate, misleading or otherwise in violation of the student’s privacy rights, and therefore should be amended or deleted from the student’s records.

        Individuals who have a direct interest in the outcome of the hearing may not serve on the Hearing Body (i.e., may not be from the University department or division with whom the student has the conflict under FERPA).

      9. Legitimate Educational Interest:  A University Official has a legitimate educational interest if it is in the educational interest of the student in question for the official to have the information, or if it is necessary for the official to obtain the information in order to carry out his or her official duties or to implement the policies of the University of Connecticut. Any University Official who needs information about a student in the course of performing instructional, supervisory, advisory, or administrative duties for the University has a legitimate educational interest.
      10. Parent: Includes a parent of a student, a guardian, or an individual acting as a parent in the absence of a parent or guardian.
      11. Personally Identifiable Information: A student’s name; the name of a student’s parent or other family member; the address of a student or student’s family; a personal identifier, such as the social security number or student number, or any portion thereof;  biometric record (meaning, biological or behavioral characteristics used for automated recognition of an individual, such as fingerprints, retina and iris patterns, voiceprints, DNA sequence, facial characteristics, handwriting); other indirect identifiers, such as the student’s date of birth, place of birth, and mother’s maiden name; other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty; or information requested by a person who the educational agency or institution reasonably believes knows the identity of the student to whom the education record relates.
      12. Student: One who is presently enrolled and attending or who has been enrolled and attended the University’s degree, non-degree and non-credit programs. It does not include deceased students.
      13. Student Code: Regulations governing student conduct; also known as “Responsibilities of Community Life: The Student Code.”
      14. University: for the purposes of this policy, “University” means the University of Connecticut, all campuses.
      15. University Official: The term “University Official” (sometimes called “School Official”) means any person employed by the University in an administrative, supervisory, academic, research or outreach, or support staff position (including law enforcement unit personnel and health staff).  The term also includes any contractor, consultant, volunteer, or other party to whom the University has outsourced institutional services or functions where the outside party–
        1. Performs an institutional service or function for which University would otherwise use employees;
        2. Is under the direct control of the University with respect to the use and maintenance of education records; and
        3. Is subject to the requirements of FERPA governing the use and redisclosure of personally identifiable information from education records.

         

        Examples of “University Officials” include, but are not limited to: attorneys, auditors, collection agents, officials of the National Student Clearinghouse, or the; a person serving on the Board of Trustees; Reserve Officers’ Training Corps (ROTC) cadre members (limited to their relationship with students enrolled in the ROTC program and/or enrolled in ROTC courses); or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another University Official in performing his or her tasks.

B. Rights of Students

1. Students of the University have a right to:

        • Be provided a list of the types and location of educational records maintained by the University and the titles and contact information of the officials responsible for those records. (See appropriate link for each campus at the end of this policy);
        • Inspect and review Education Records (except as excluded in section H. below), within 45 days of a written request being presented to the authorized custodian of the records in question;
        • Receive a response from the University to reasonable requests for explanations and interpretations of Education Records within ten (10) business days;
        • Request amendments to their Education Records if the student believes that they are inaccurate, misleading, or otherwise in violation of privacy rights.  If the University refuses to make such amendments, the student shall have an opportunity for an administrative hearing to challenge the content of the record on the same grounds and to insert a written statement or explanation commenting upon the information in the record;
        • Inspect and review only such parts of educational material documents as relate to him/her or to be informed of such specific information;
        • Receive a copy, if desired, of all records supporting enrollment or transfer to another school, and have an opportunity for an administrative hearing to challenge the content of these records;
        • Revoke, in writing, any previously executed waiver of rights under FERPA, with respect to any actions occurring after revocation;
        • Inspect the Disclosure Logs maintained by appropriate University record custodians with regard to the student’s Education Record(s); and
        • File complaints with the Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue S. W., Washington, D.C. 20202-4605.  Complaints may also be filed with the University’s Compliance Office by calling the Assistant Director of Compliance/Privacy at (860) 486-5256 or online at https://www.compliance-helpline.com/uconncares.jsp, or the UCHC Compliance Office by calling the Associate Education Compliance Officer at (860) 679-1280 or email compliance.officer@uchc.edu.

 

C. Disclosure of Education Records. Education Records or other Personally Identifiable Information (other than Directory Information, as described in Section D. below) may not be disclosed without the student’s prior written consent except in the following instances.   For purposes of compliance with FERPA, the University considers all students, regardless of age or tax dependency status to be independent. Therefore, educational records will not be provided to parents without the written consent of the student, except where one or more of the exceptions below applies.

      1. To the student himself/herself, unless he/she has waived the right;
      2. To University Officials who have a legitimate educational interest in the records.
      3. To officials of other schools in which the student seeks or intends to enroll or has enrolled, as long as the disclosure is for purposes related to the student’s enrollment or transfer, and provided the student may upon request have a copy of the records so transferred;
      4. In connection with determining eligibility, amounts, and conditions, or enforcing terms of financial aid for which the student has applied or that which he or she has received;
      5. To comply with a judicial order or lawfully issued subpoena, provided the University makes a reasonable effort to notify the student of the order or subpoena in advance of the compliance therewith, unless such notification is not required by FERPA;
      6. To appropriate parties in connection with a health and safety emergency where the University determines that there is a articulable and significant threat to a student or any other individuals, where the knowledge of such information is necessary to protect the health or safety of the student or other individuals;
      7. To law enforcement agencies and to certain other governmental authorities and agencies as are enumerated in and required or permitted by FERPA;
      8. To a court in connection with legal action by the University against a student or a student’s parent or by a student or student’s parent against the University;
      9. To the parent of a student regarding the student’s violation of any Federal, State, or local law or of any rule or policy of the University, governing the use or possession of alcohol or a controlled substance where:
        1. The University has determined that the student has committed a disciplinary violation with respect to that use or possession; and
        2. The student is under the age of 21 at the time of the disclosure to the parent.  Such disclosure will occur in accordance with the University’s Parental Notification Policy through the Division of Student Affairs.  For more information, visit the Division of Student Affairs Community Standards website at:  http://www.community.uconn.edu.
      10. To a victim of an Alleged Perpetrator of a Crime of Violence or a Non-forcible Sex Offense. Such disclosure may only include the final results of the disciplinary proceedings conducted by the University with respect to the alleged crime or offense. The University may disclose the final results of the disciplinary proceeding regardless of whether the University concluded a violation was committed;
      11. Disclosure of the final result of a disciplinary proceeding where the alleged perpetrator-student is found to have violated University policy with respect to a criminal allegation.  Such disclosure may be made (even to members of the public in certain circumstances) where the University has determined through its disciplinary proceedings that a student is (a) an Alleged Perpetrator of a Crime of Violence or a Non-forcible Sex Offense; and (b) with respect to the allegation made against the student, the student has committed a violation of the Student Code. Such a disclosure may only include the Final Results of the disciplinary proceedings conducted by the University with respect to the alleged crime or offense. The University may not disclose the name of any other student, including a victim or witness, without the prior written consent of the other student. This paragraph applies only to disciplinary proceedings in which the Final Results were reached on or after October 7, 1998;
      12. To authorized representatives of the federal, state and/or local government as permitted by FERPA in connection with an audit of federal- or state-supported education programs or with the enforcement of or compliance with federal legal requirements relating to those programs.
      13. To accrediting organizations to carry out their accrediting functions; and
      14. To organizations conducting studies for, or on behalf of, educational agencies or institutions to:
        1. Develop, validate, or administer predictive tests;
        2. Administer student aid programs; or
        3. Improve instruction.

        Disclosures made pursuant to this paragraph are subject to the requirements that (i) the studies are conducted in a manner that does not permit personal identification of parents and students to individuals other than representatives of the organization; and (ii) the information is destroyed when no longer needed for the purposes for which the study was conducted.

      15. Pursuant to a student record release request made under the Solomon Amendment. (See section E. below.)

 

D. Disclosure of Directory Information/Limited Directory Information Policy:

The University hereby gives notice that the categories of information defined herein as Directory Information may be released without the prior written consent of the student under the circumstances enumerated below.  The University reserves its right to determine when and to whom it is appropriate to release Directory Information in response to third party requests.  Any release of information deemed to be appropriate by the University will only occur as enumerated below:

1. The following categories of Directory Information may be disclosed to anyone who so requests:

  • Name
  • NetID
  • PeopleSoft Number
  • School or College
  • Major Field of Study
  • Degree Sought
  • Student Level
  • Degrees, Honors & Awards Received
  • Residency/Match Information (medical/dental students)
  • Dates of Attendance
  • Participation in Officially Recognized Activities and Sports
  • Weight and Height of Athletic Team Members and Other Similar Information Including Performance Statistics
  • Photographic Likenesses and Video of Athletic Team Members
  • For Student Employees, Employing Department & Dates of Employment

2. In addition to the information in category #1, the following categories of Directory Information may be disclosed to the UConn Foundation (including the UConn Alumni Association) and/or the UConn Law School Foundation:

  • Date of Birth
  • Addresses (physical and email)
  • Telephone Number

3. In addition, any member of the University community with a NetID  may access student email addresses, as long as the access is for University-related purposes.  However, such individuals may not use any student emails accessed through this process for commercial purposes or otherwise in violation of other University policies or applicable state or federal law.

4. Opting Out of Directory Information:  Students who wish to opt-out of having their directory information disclosed without their prior consent must make the request in writing.  At the Storrs and Regional Campuses, all requests shall be directed to the Office of the Registrar, Wilbur Cross Building, Unit 4077, Storrs, CT 06269-4077.  At UCHC, all requests shall be directed to the Student Services Center, 263 Farmington Avenue, Farmington, CT 06030-1827.  Such requests shall apply only to subsequent actions by the University and shall remain in place until removed by written request of the student. A student may not use the right to opt out of Directory Information disclosures to prevent the University from disclosing or requiring a student to disclose the student’s name, identifier, or institutional e-mail address in a class in which the student is enrolled. Student employees must contact the Student Employment division within the Office of Student Financial Aid Services to restrict access to any employment-related Directory Information.  The University will not use Social Security Numbers as a means of verifying the identity of a student, nor to confirm identity of the student upon the request for the release of Directory Information about the student.

E. Military Access to Education Records. The Solomon Amendment is not a part of FERPA, but it allows military organizations access to information for the purposes of military recruiting which information may otherwise be protected from disclosure under FERPA. Failure to comply with this requirement could result in the loss of various forms of federal funding including various forms of Federal Student Aid.

  1. At the University of Connecticut, all items included under the Solomon Amendment’s list of required information are included within the University’s definition of “Directory Information.” These include name, addresses, telephone numbers, age, major, dates of attendance and degrees awarded.
  2. Information released is limited to military recruiting purposes only. The request for information must be in writing on letterhead that clearly identifies the military recruiting organization. Military recruiters must be from one of the following United States military organizations: Air Force; Air Force Reserve; Air Force National Guard; Army; Army Reserve; Army National Guard; Coast Guard; Coast Guard Reserve; Navy; Navy Reserve; Marine Corps; Marine Corps Reserve.
  3. If a student requests that their Directory Information be withheld under section D.4. of this policy, the student’s records will not be released to military recruiters.

 

F.  Disclosure Logs. The appropriate University records custodian shall maintain a log of each request for and each disclosure of Personally Identifiable Information from the Education Records of a student, that indicates the persons who have requested or obtained Personally Identifiable Information and their legitimate interests in obtaining it. However, this requirement does not apply to:

  1. Disclosures pursuant to the written consent of the student, when the consent is specific with respect to the party or parties to whom the disclosure is to be made;
  2. Disclosures to University Officials, when it has been determined that the official has a legitimate educational interest; and
  3. Disclosures of Directory Information; and
  4. Disclosures to the student upon the student’s own request.

 

G.  Redisclosure. University Officials who disclose personally identifiable information from an Education Record must inform the recipient of the information that he/she/it may not redisclose that information without the consent of the student, and that the recipient may only use the information received for the purpose for which the disclosure was made, except where one of the exceptions in Section C. above applies.

 

H. Records Excluded from the Definition of Education Records. The following materials, information, and records which are excluded from the definition of Education Records are not available to students for inspection, review, challenge, correction, or deletion:

  1. Confidential letters and statements of recommendation which were placed in the Education Records prior to January 1, 1975, if they are not used for purposes other than those for which they were specifically intended;
  2. Confidential letters and statements of recommendations, used solely for the purposes for which they were specifically intended, if the student has waived the right to inspect and review recommendations:
    1. regarding admission to an educational institution,
    2. regarding an application for employment, and
    3. regarding the receipt of an honor or honorary recognition;
  3. Financial records and statements of the student’s parents or any information contained therein;
  4. Records of instructional, supervisory, or administrative personnel or educational personnel ancillary thereto, which are kept in the sole possession of the maker thereof, are used only as a personal memory aid, and are not accessible or revealed to any other person except a temporary substitute for the maker of the record;
  5. Records which are created or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting or assisting in that capacity, used only in providing treatment to the student, and not available to anyone other than persons providing such treatment, except that such records may be personally reviewed by a physician or other appropriate professional of the student’s choice;
  6. Records made and maintained in the normal course of business which relate exclusively to the individual in his or her capacity as an employee and are not available for any other purpose; this exclusion does not apply to an individual who is employed by the University as a result of his/her status as a student (i.e., interns, graduate assistants, work-study, etc.);
  7. Records that only contain information about or related to a former student once he or she is no longer enrolled at the University (e.g., information regarding alumni or regarding individuals who attended the University at some point but are no longer enrolled);
  8. Records of a law enforcement unit of the University created and maintained by that law enforcement unit for the purpose of law enforcement.  This exception does not include those records created by a law enforcement unit, even if the records were created for law enforcement purposes, if such records are maintained by a component of the University other than the law enforcement unit; and
  9. Grades on peer-graded papers before they are collected and recorded by a teacher.

 

Student Rights to Inspect and Challenge Education Records. The University shall provide a student the opportunity to challenge the content of his or her Education Records where the student believes the record(s) to be inaccurate, misleading, or otherwise in violation of privacy rights, and to correct, delete, or insert written statements of explanation into such record(s). This does not give a student a right to contest or challenge an assigned grade. Although disagreements may be settled through informal meetings and discussions, either the student or the University may request an administrative hearing to resolve the dispute.  The student or University administrator seeking the hearing shall make his or her request in writing.

Send a written request to:

University Privacy Officer
University of Connecticut
Office of University Compliance
28 Professional Park Unit 5084
Storrs, Connecticut 06268-5084

The Hearing Process:

  1. The hearing shall be conducted and decided within a reasonable period of time following the request, and the student shall be given notice of the date, time, and place reasonably in advance of the hearing.  Normally, the hearing will be conducted within ten (10) business days following the date the hearing request has been received.
  2. The student will have, at the formal hearing, the opportunity to present evidence and argument to a Hearing Body in support of his or her contention that the records are inaccurate, misleading or otherwise inappropriate. The student may, at his or her own expense, be assisted by one or more individuals of his or her own choice, including an attorney. The student may present evidence and question witnesses.  The burden shall lie with the student to show that it is more likely than not (preponderance of the evidence) that the University department should have made the student’s requested changes to his or her records, and/or that a violation of the student’s rights under FERPA has occurred.
  3. The University department with whom the student has the conflict may present a case in rebuttal with the same aforementioned procedural rights. The University department shall be provided an opportunity to present evidence relevant to the issues raised by the student;
  4. The hearing shall be conducted by a Hearing Body who will hear all testimony, review all evidence presented at the hearing and render a decision.  The Hearing Body shall be appointed by the Vice President of Student Affairs for the Storrs and Regional Campuses, or by the Dean of Students for each school (Medical and Dental) at UCHC,  provided that person(s) does not have a direct interest in the outcome;
  5. The Hearing Body shall ensure that the decision is rendered to the student in writing within a reasonable time after the conclusion of the hearing, is based solely upon the evidence presented at the hearing, and shall include a summary of the evidence and the reasons for the decision.  The decision of the Hearing Body shall be final.
  6. If the matter is not resolved to the satisfaction of the student, the student may draft a written response to be included with the Education Record(s) in question that details the student’s issue(s) with the Education Record(s) in question, and a description of why the student believes the Education Record(s) in question to be inaccurate, misleading, or otherwise in violation of privacy rights.

To find location of specific student files, please go to: http://ferpa.uconn.edu/records