Day: May 24, 2011

Human Subjects Research

Posted on by
Title: Human Subjects Research
Policy Owner: Office of the Vice President for Research
Applies to: Employees, Faculty, Students, Others
Campus Applicability: All Campuses
Effective Date: May 25, 2018
For More Information, Contact Office of the Vice President for Research
Contact Information: (860) 486-3001
Official Website: http://research.uconn.edu/

REASON FOR POLICY

The University of Connecticut is committed to ensuring the safety, rights and welfare of all participants involved in human subjects research conducted at or by the University of Connecticut on all its campuses, including UConn Health (the “University”). This policy establishes that whenever the University engages in human research it will be guided by the ethical principles of the Belmont Report and will comply with applicable legal requirements. It is the responsibility of all components of the human research protection program to work collaboratively to ensure research with human subjects is conducted in accordance with such ethical principles and legal requirements.

APPLIES TO

All University faculty, employees, students, postdoctoral fellows, residents and other trainees, and agents who supervise or conduct human subject research.  Such research includes, but is not limited to, obtaining data through intervention or interaction with individuals, using identifiable private information or identifiable biospecimens from living individuals and using human tissue to evaluate the safety or effectiveness of an investigational device.

DEFINITIONS

Human Research Protection Program (“HRPP”):  The University’s comprehensive system designed to ensure that the University meets ethical principles and legal requirements for the protection of the safety, rights and welfare of human participants in research.  The HRPP encompasses all University-associated individuals and units responsible for the conduct and oversight of research involving human participants.

Human Subject or Human Participant:

  • A living individual about whom an investigator (whether professional or student) conducting research obtains data through intervention or interaction with the individual, or identifiable private information. [45 CFR 102(f)]
  • An individual who is or becomes a participant in research, either as a recipient of the test article or as a control. Such subject may be either a healthy individual or a patient. For research that evaluates the safety or effectiveness of a device, the definition also includes a human on whose specimen an investigational device is used. Such subject may be in normal health or may have a medical condition or disease. [21 CFR 56.102(e); 21 CFR 812.3(p)]
  • Any other individual meeting the legal requirements of a human subject or human participant in research.

Institutional Official (“IO”): The individual appointed by the President of the University who is legally authorized to act for and on behalf of the University in matters related to human subject research and the protection of human research participants. The IO oversees the HRPP and is responsible for ensuring that it functions effectively and that the University provides appropriate resources and support to comply with applicable legal requirements governing human subject research.

Institutional Review Board (“IRB”): A multidisciplinary group whose membership meets applicable legal requirements, which reviews, approves, and oversees all University research involving human subjects. An integral component of the HRPP, the IRB review ensures the protection of the safety, rights and welfare of human subjects and that applicable legal requirements are met.

Research:

  • A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. [45 CFR 102(d)]
  • A clinical investigation, meaning any experiment that involves a test article and one or more human subjects, and that either must meet the requirements for prior submission to the Food and Drug Administration (“FDA”) under section 505(i) or 520(g) of the Federal Food, Drug, and Cosmetic Act, as amended (the “Act”), or need not meet the requirements for prior submission to the FDA under these sections of the Act, but the results of which are intended to be later submitted to, or held for inspection by, the FDA as part of an application for a research or marketing permit. [21 CFR 102(c)]
  • Any other activities meeting the legal requirements of research involving human subjects or human participants.

POLICY STATEMENT

The University will designate one or more IRBs for the review of research involving human participants.

The IO is delegated the authority to develop policies and procedures, and to implement a program to ensure the safety, rights and welfare of human participants in research that is legally compliant.

All human subjects research, regardless of sponsorship or funding, must be reviewed and approved by a University designated IRB before research begins unless specifically exempted from review by policy or procedure.

Designated IRBs are granted the authority to:

  • Approve, require modifications to secure approval, or disapprove research involving human subjects;
  • Suspend or terminate approval of research not being conducted in accordance with the IRB’s requirements or that has been associated with unexpected serious harm to human subjects;
  • Take actions determined necessary to ensure legal compliance and adherence to University policy, and to mitigate issues associated with unanticipated problems or risks to human participants and others;
  • Observe, or have a third party observe, the consent process or conduct of the research; and
  • Conduct continuing review of research annually or at intervals appropriate to the degree of risk.

University personnel may not approve research involving human participants if it has not been approved by a University designated IRB.  Research that has been approved by a designated IRB may be subject to further review and approval or disapproval.

Research Subject to the Common Rule. Human subject research that is conducted or supported by any federal department or agency that has adopted the Federal Policy for the Protection of Human Subjects, known as the Common Rule, will comply with the requirements set forth in the Health & Human Services Regulations at 45 CFR part 46 (including subparts A, B, C and D), unless the research is otherwise exempt from these requirements.  Relevant HRPP and IRB policies and other applicable legal requirements of the department or agency conducting or supporting the research may also apply.

Research Subject to FDA Regulation. Clinical investigations regulated by the FDA under section 505(i) or 520(g) of the Act (21 U. S.C. § 355(i)) will comply with the applicable FDA regulations. These regulations include, but are not limited to: Protection of Human Subjects (21 CFR part 50), Institutional Review Boards (21 CFR part 56), Investigational New Drug Application (21 CFR part 312), Applications for FDA Approval to Market a New Drug (21 CFR part 314) and Investigational Device Exemptions (21 CFR part 812).  Relevant HRPP and IRB policies may also apply.

Other Research. For all other research involving human participants, the University applies the policies of the HRPP, which are guided in their development and implementation by the Health & Human Services Regulations at 45 CFR part 46 (including four subparts) and the International Conference on Harmonization Good Clinical Practice Consolidated Guidelines.

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, the University of Connecticut Student Code, and other applicable University Policies.

ADDITIONAL RESOURCES

45 CFR part 46 (including subparts A, B, C and D)

21 CFR part 50

21 CFR part 56

21 CFR part 312

21 CFR part 314

21 CFR part 812

ICH GCP (E6)

Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research (1979)

POLICY HISTORY

Revisions: 2/16/2011; 5/25/2018 (Approved by President’s Cabinet)

Guide to the State Code of Ethics

Posted on by
Title: Guide to the State Code of Ethics
Policy Owner: Office of University Compliance
Applies to: Faculty, Staff
Campus Applicability: All Campuses
Approval Date: October 25, 2023
Effective Date: October 25, 2023
For More Information, Contact Office of University Compliance
Contact Information: (860) 486-2530 or universitycompliance@uconn.edu
Official Website: https://compliance.uconn.edu

PURPOSE

Pursuant to state law, the University is required to adopt in cooperation with the Office of State Ethics, an ethics statement as it relates to the mission of the University. The Code of Ethics for Public Officials (the Code) sets forth principles of ethical conduct that all state employees, including employees of the University, must observe. All employees of the University are expected to become familiar with the Code and comply with all its provisions. This statement is intended to be a general guide to assist you in determining what conduct is prohibited so that it may be avoided. It is not intended to supersede the Code. Please note that under state statute, compliance with the Code is the responsibility of the employee, not the University.

The Office of State Ethics has jurisdiction to interpret and enforce the Code. Violations may result in a formal complaint proceeding filed against the employee and sanctions of up to $10,000 per violation. The entire Code and regulations, as well as a summary of these rules, may be found at the web site for the Office of State Ethics, www.ethics.state.ct.us. For formal and informal interpretations of the Code of Ethics, employees should contact the Office of State Ethics.   In addition, the University must designate an Ethics Liaison as an information resource regarding compliance. An employee who has a question or is unsure about the provisions of this policy, or who would like assistance in contacting the Office of State Ethics, should contact the University’s Ethics Liaison.

The following general provisions of the Code are applicable to all employees of the University of Connecticut:

CONFLICT OF INTEREST

  •  GIFTS:  In general, employees are prohibited from accepting gifts, discounts or gratuities of any kind from prohibited donors: (1) doing business with or seeking to do business with the University; (2) directly regulated by the University; (3)  known to be a registered lobbyist or a lobbyist’s representative, or; (4) pre-qualified under Conn. Gen. Stat. §4a-100.  A list of registered lobbyists can be found on the web site of the Office of State Ethics.  Certain items are excluded from the definition of “gift,” including: items offered to the public at large (for example, trinkets provided at an open house), items valued at under $10, food and beverage up to $50 in a calendar year from each donor and training for a product purchased by the University provided such training is offered to all customers of that vendor.  “Gifts to the state” are also permitted as long as the gifts facilitate University actions or functions.  If an employee is offered a benefit from someone other than the prohibited donors listed above, and the benefit is offered because of the employee’s position at the University, the total value of benefits received from one source in a year must not exceed $100.  Additionally, supervisors may only accept gifts valued at no more than $100 from a subordinate; a subordinate may only accept gifts valued at no more than $100 from his/her supervisor.  This provision not only applies to direct supervisors and subordinates, but to any individual up or down the chain of command.  Questions regarding specific facts and circumstances surrounding various gift-giving scenarios should be directed to the University’s Ethics Liaison or the Office of State Ethics.
  • OUTSIDE EMPLOYMENT:  No employee may accept outside employment that will impair their independence of judgment with regard to their state duties or would encourage the disclosure of confidential information gained in state service. Additionally, although an employee may use their expertise, they may not use their state position to obtain outside employment. An employee is not allowed to use their business address, telephone number, title or status in any way to promote, advertise or solicit personal business.  Employees interested in pursuing outside employment may seek and receive written approval from their Supervisor and, if uncertain about the application of the Code, the Ethics Liaison or the Office of State Ethics. For faculty and professional staff, the University of Connecticut By-Laws specifically address consulting, private professional practice, teaching, and other outside employment situations. Faculty and members of the AAUP bargaining unit must adhere to the University’s Faculty Consulting policy as well as the policy on assigning textbooks which they have authored. Union members are referred to contract articles, if such exist, relating to outside employment in their respective collective bargaining agreements. If you are thinking about an opportunity for outside employment, you may also consult with the University’s Ethics Liaison for guidance.
  • FINANCIAL BENEFIT:  Employees may not use their official position or confidential information gained in their service for personal financial benefit, or the financial benefit of a family member or a business with which they, or a family member, are associated.  Employees are prohibited from using state time, personnel or materials, including telephones, computers, e-mail systems, fax machines, copy machines, state vehicles and any other supplies, for personal, non-state related purposes.  It is understood, however, that incidental use of state property for personal use is permissible so long as you reimburse the state for any identifiable charges.
  • CONTRACTS WITH THE STATE:  Employees, their immediate family members, and/or a business with which an employee or their family member is associated may not enter into a contract with the state valued at $100 or more, unless the contract has been awarded through an open and public process. The Code permits an exemption for contracts with a public institution of higher education to support a collaboration with such institution to develop and commercialize any invention or discovery.  The Office of State Ethics has ruled that immediate family members may not be hired as an independent contractor unless there has been an open and public process.
  • APPEARANCE FEES:  No employee may personally accept any fee or honorarium given in return for a speech or appearance made or article written in the employee’s official capacity.  Employees may, however, direct that the fee or honorarium be deposited in a University account to be used for future University-related business activities.
  • NECESSARY EXPENSES/GIFTS TO THE STATE: payment or reimbursement of expenses to participate in a particular event may be acceptable under certain circumstances and, if received from a non-governmental entity, may also require a disclosure filing with the Office of State Ethics. “Necessary expenses" are limited to: necessary travel expenses, lodging for the nights before, of and after the appearance, speech, or event; meals and any related conference or seminar registration fees. “Gifts to the state” may also be acceptable to attend an event that is relevant to your state duties and do not require “active participation”.

POLITICAL ACTIVITY

  1. Employees are not prohibited from seeking political office as long as it is not done on State time or with State equipment. However, any State employee who is elected to state political office may not be employed by two branches of state government simultaneously. Therefore, any employee who accepts an elective state office must resign or take a leave of absence from his/her position with the University. Consult the University By-Laws and inform your supervisor prior to participating in a political campaign.
  2. No employee of the University will engage in partisan political activities while on state time. Additionally, no employee will use state materials or equipment for the purpose of influencing a political election of any sort.

MISCELLANEOUS: POST-EMPLOYMENT (REVOLVING DOOR) AND VENDOR NOTIFICATION

The State Code of Ethics contains several provisions regarding post-state employment. Prior to leaving employment with the University, all employees should review the applicable rules and, if necessary, seek guidance from the Ethics Liaison or The Office of State Ethics.

  • You may never use confidential information for financial gain for yourself or any other person. This is a lifetime prohibition. “Confidential Information” is any information not generally available to the public.  The information may be in any form (written, photographic, recorded, computerized, etc.) including orally transmitted information, e.g., conversations, negotiations, etc.
  • You may not represent anyone concerning any particular matter in which you personally and substantially participated while in state service in which the state has a substantial interest.
  • You may not, for one year, represent anyone before your former agency for compensation
  • If you participated substantially in the negotiation or award of a state contract valued at $50,000 or more, you may not accept employment with a party to the contract for one year after leaving state service, if you resign within one year after the contract was signed.

No official or employee shall counsel, authorize or otherwise sanction action that violates any provision of the Code of Ethics.

The provisions of this document shall apply to all employees of the University of Connecticut. All current and future employees of the University shall be supplied with a copy of this document, and it shall be the responsibility of each employee to be familiar with these provisions and to comply with them. It is strongly suggested that employees avoid those situations which may give the appearance of being a conflict of interest. When in doubt or unsure about these provisions, an employee should contact either his or her supervisor, department head, or the University’s Ethics Liaison. Ultimately, The Office of State Ethics is the authority that determines what conduct constitutes an ethics violation under the law. Therefore, you are strongly encouraged to discuss any situation which may pose a conflict of interest or other ethics problem with the Office’s staff attorneys.

The University will notify vendors/contractors doing business with it of these provisions through its procurement officers. A summary of the State Code of Ethics as it applies to vendors will also be provided. Copies of this policy will be provided upon request.

Please note: Violations of the Code of Ethics may subject an employee to sanctions from agencies or systems external to the University. Whether this occurs or not, the University retains the right to independently review and respond administratively to violations. The conduct of the review and response will be in accordance with contractual and regulatory guidelines.

IMPORTANT ETHICS REFERENCE MATERIALS

It is strongly recommended that every employee read and review the following ethics materials:

The University’s Ethics Liaison is:

Kimberly Fearney, Associate Vice President and Chief Compliance Officer
Office of University Compliance
28 Professional Park Road (Unit 5084)
Storrs, CT 06268
Telephone Number: (860) 486-2530
Email: Kim.Fearney@uconn.edu

The contact information for the Office of State Ethics:

20 Trinity Street
Hartford, CT 06106
Office of State Ethics
Tel: (860) 263-2400
Fax: (860) 263-2402

POLICY HISTORY

Policy created: July 2006
Revisions: October 25, 2023; February 26, 2014; July 2009

General Rules of Conduct

Posted on by
Title: General Rules of Conduct
Policy Owner: Department of Human Resources
Applies to: Faculty, Staff
Campus Applicability: Storrs and Regional Campuses
Approval Date February 27, 2024
Effective Date: February 29, 2024
For More Information, Contact Employee/Labor Relations
Contact Information: (860) 486-5684 or laborrelations@uconn.edu
Official Website: https://www.lr.uconn.edu/

PURPOSE

To outline expectations for employee conduct in the workplace.

POLICY STATEMENT

The University requires employees to adhere to the General Rules of Conduct and will hold employees accountable for violations.  A supervisor’s failure to enforce a rule does not excuse employees from complying with it, nor does it prevent the University from taking disciplinary action thereafter. The below list is not exhaustive and other, more detailed policies on these topics remain in effect. Nothing in this policy constrains the University from pursuing criminal prosecution, if applicable, in addition to dealing with or responding to issues administratively.

The General Rules of Conduct prohibits the following:

  1. Unlawfully distributing, selling or offering for sale, possessing, using, or being under the influence of alcohol, drugs, or controlled substances (including marijuana) when on the job or subject to duty;
  2. Misusing or willfully neglecting University property, funds, materials, equipment, or supplies;
  3. Fighting, engaging in unruly or disruptive behavior, or acting in any manner which endangers the safety of oneself or others. This prohibition includes but is not limited to acts of aggression, intentional or not, as well as threats of violence;
  4. Marking or defacing walls, fixtures, equipment, machinery, or other University property, or willfully damaging or destroying property in any way;
  5. Interfering in any way with the work of others;
  6. Stealing or possessing without authority any equipment, tools, materials, or other property of the University, or attempting to remove them from the premises without written permission from the appropriate authority;
  7. Being inattentive to duty, including but not limited to sleeping on the job;
  8. Refusing to do assigned work or to work overtime if directed, working overtime without proper authorization, or failing to carry out the reasonable directive of a manager, supervisor, or department head;
  9. Falsifying any time card, attendance report, or other University record, or giving false information to anyone whose duty it is to make such record;
  10. Being repeatedly or continuously absent or late, being absent without notice or reason satisfactory to the University, or leaving one’s work assignment without authorization;
  11. Conducting oneself in any manner, which is insulting, intimidating, threatening, physically or verbally abusive, or contrary to common decency or morality; making verbal or written remarks that are inflammatory, derogatory, discriminatory, harassing, or that create a hostile work environment;
  12. Carrying out any form of harassment, including sexual harassment;
  13. Operating state-owned vehicles or private vehicles for state business without proper license, or operating any vehicle on University property or on University business in an unsafe or improper manner;
  14. Having an unauthorized weapon on University property;
  15. Appropriating state or University equipment or resources for personal use or gain or appropriating state, University, student or employee time or effort for personal use or gain;
  16. Engaging in actions which constitute a conflict of interest with one’s University job; including but not limited to, in the case of academic administrators and faculty, the teaching of credit courses at other educational institutions, unless approved in advance in accordance with established procedures;
  17. Gambling or unauthorized solicitation;
  18. Smoking or vaping within no-smoking areas;
  19. Computer abuse, including but not limited to plagiarism of programs, accessing or viewing obscene or pornographic material, misuse of computer accounts, unauthorized destruction of files, creating illegal accounts, possession or use of unauthorized passwords, disruptive or annoying behavior on the computer, and non-work-related use of computer software and hardware;
  20. Being convicted of a crime;
  21. Engaging in activities which violate either the State’s or the University’s Code of Ethics;
  22. Engaging in activities which are detrimental to the best interests of the University or the State;
  23. Entering, using, or providing access to the worksite other than for work purposes or to unauthorized individuals;
  24. Retaliating in any form or manner toward an employee or student for reporting a violation of any federal or state statute or regulation or University rule or policy;
  25. Engaging in any form of sexual or unwelcome physical contact in the workplace;
  26. Failing to cooperate or being untruthful in a University investigation.

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 and applicable collective bargaining agreements.  When applicable, individuals may also be held accountable under the Student Code of Conduct.

PROCEDURES/FORMS

None

REFERENCES

Supervisors should contact Employee/Labor Relations at 860-486-5684 or laborrelations@uconn.edu regarding any suspected violation of the General Rules of Conduct.

POLICY HISTORY

Policy created: January 2004

Revisions: February 27, 2024 (Approved by the Senior Policy Council and the President)

Financial Conflicts of Interest in Research

Posted on by
Title: Financial Conflicts of Interest in Research
Policy Owner: Vice President for Research
Applies to: Faculty, Staff, Students
Campus Applicability: Storrs and Regional Campuses
Approval Date: January 30, 2023
Effective Date: January 30, 2023
For More Information, Contact Director, Sponsored Program Services
Contact Information: (860) 486-3622
Official Website: https://ovpr.uconn.edu/services/rics/fcoi/

 

BACKGROUND

Investigators at the University of Connecticut (University) promote the research mission of the University relating to the discovery and dissemination of knowledge that emerges from that research. Participation in activities of professional associations, industry collaborations, and other public and private entities can assist in meeting these expectations, while also serving the academic interests of the University. In addition, such participation brings enhanced national and international status to the University and the State. Over the past decade, the opportunity for University faculty and staff to engage in external professional and entrepreneurial activities has increased markedly, and is encouraged by the state and federal governments because of the resulting economic development benefits. The State of Connecticut has determined that the commercialization of University research and technology transfer is critical to Connecticut’s long-term economic growth.

However, it is vital that Investigators adhere to state and federal regulations dealing with avoiding and managing potential and existing conflicts of interest. In order for the University to maintain public   trust and support in carrying out its mission, including all sponsored activities, the University must demonstrate that it subjects itself to the highest standards of ethical behavior.

 

PURPOSE

This Policy on Financial Conflicts of Interest in Research (Policy) provides guidelines to promote objectivity in research. The Policy establishes standards to ensure that the design, conduct, and reporting of research funded by extramural sponsors will not be biased by any conflicting financial interest of an Investigator. The University encourages Investigators to engage in appropriate outside relationships, but significant financial interests related to these relationships need to be disclosed, reviewed, and managed in accordance with this Policy.

 

APPLICABLE FEDERAL REGULATIONS

The following federal regulations inform this policy:

Department of Energy (DOE) Interim Conflict of Interest Policy
https://www.energy.gov/sites/default/files/2022-10/Department%20of%20Energy%20Interim%20Conflict%20of%20Interest%20Policy.pdf

Public Health Service (PHS)
https://grants.nih.gov/grants/policy/coi/index.htm

National Science Foundation (NSF)
http://www.nsf.gov/pubs/policydocs/pappguide/nsf10_1/aag_4.jsp

Food and Drug Administration (FDA)
https://www.fda.gov/RegulatoryInformation/

In summary, the federal policies and regulations stipulate:

  1. Disclosures of significant financial interests by ALL Investigators;
  2. Institutional certification that all proposed and ongoing sponsored research is either free of financial conflicts of interest, or that such conflicts are managed, reduced or eliminated, and reported as required by applicable regulations;
  3. The implementation of an institutional mechanism for managing financial conflicts of interest in research;
  4. Notification of sponsors, as required, of management plans and if the University is unable to manage financial conflicts of interest satisfactorily;
  5. Monitoring of compliance, procedures for retroactive review in cases of non-compliance, enforcement mechanisms, and sanctions where appropriate;
  6. Maintenance of records relating to this policy for at least three years following the termination of a given project; and,
  7. Providing information and training to Investigators, as required by applicable regulations.

 

DEFINITIONS

Business: any corporation, partnership, sole proprietorship, firm, franchise, association, organization, holding company, joint stock company, receivership, business or real estate trust, or any other legal entity organized for profit or charitable purposes.

Clinical Investigation(PHS): any experiment in which a drug is administered or dispensed to, or used, involving one or more human subjects. An experiment here is any use of a drug, except for the use of a marketed drug in the course of medical practice.

Clinical Investigation (FDA): any experiment that involves a test article and one or more human subjects, and that either is subject to requirements for prior submission to the Food and Drug Administration under section 505(i) or 520(g) of the act, or is not subject to requirements for prior submission to the Food and Drug Administration under these sections of the act, but the results of which are intended to be submitted later to, or held for inspection by, the Food and Drug Administration as part of an application for a research or marketing permit. The term does not include experiments that are subject to the provisions of part 58 of the chapter, regarding non-clinical laboratory studies.

Financial Conflict of Interest (FCOI):  a situation in which significant financial interests in a business, or other personal considerations provided by a business, may compromise, or have the appearance of compromising, an Investigator’s professional judgment in conducting or reporting research, the results of which could affect the aforementioned business, either directly or indirectly. An FCOI exists when the University, through its designated official(s), reasonably determines that an Investigator’s Significant Financial Interest is related to a research project and could directly and significantly affect the design, conduct or reporting of the research.

Human Subject (PHS regulations “Protection of Human Subjects” 45 CFR Part 46, as administered by OHRP): a living individual about whom an Investigator conducting research obtains data  through intervention or interaction with the individual, or identifiable private information.

Human Subject (FDA regulations 21 CFR 50): an individual who is, or becomes, a participant in research, either as a recipient of the test article or as a control. A subject may be either a healthy human or a patient.

Immediate Family: the Investigator’s spouse/domestic partner and dependent children.

Institutional Responsibilities: an Investigator’s professional responsibilities on behalf of the University, which include research, teaching, and service as, e.g., outlined in the Policy on Faculty Professional Responsibilities (http://policy.uconn.edu/?p=659).

Intellectual Property: a product of the intellect that has commercial value, including copyrighted works, patents, business methods, and industrial processes.

Investigator: the principal investigator and any other person (regardless of title or position) who is responsible for the design, conduct or reporting of research or educational activities*. This may include faculty and research staff (research associates and assistants, postdoctoral fellows, graduate students, visiting scientists engaged in research conducted at the University) as well as consultants.

*For DOE funded projects, the definition states that the Principal Investigator or any other person, regardless of title or position, who is responsible for the purpose, design, conduct, or reporting of a project.

Research (PHS regulation 45 CFR 46.102(d)): a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research for purposes of this Policy, whether or not they are conducted or supported under a program which is considered research for other purposes.

Significant Financial Interest (SFI):

  1. Significant Financial Interest means:
For DOE, PHS and all sponsors that follow the 2011 PHS FCOI Regulations[1] For NSF and all other sponsors:

 
With regard to any publicly traded entity, an SFI exists if the value of any remuneration[2] received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000; or

 

With regard to any non-publicly traded entity, an SFI exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or  when  the  Investigator  (or the Investigator’s Immediate Family) holds any equity interest(e.g., stock, stock  option,  or other ownership interest); or

 

Intellectual property rights and interests (e.g., patents, copyrights), upon receipt of income related to such rights and interests.

 

 An equity interest that when aggregated for the Investigator and the Investigator’s Immediate Family exceeded $5,000 over the last 12 months, and/or is expected to exceed $5,000 in value over the next 12 months as determined through reference to public prices or other reasonable measures of fair market value; or when the Investigator (or the Investigator’s Immediate Family) holds a 5% or greater equity interest (e.g., partnership, ownership, stock, stock option, or other ownership interest) in a single publicly traded entity or holds any equity interest in a non-publicly traded entity; or

 

Salary, royalties or other payments not from the University for services (e.g., consulting fees or honoraria) that when aggregated for the Investigator and the Immediate Family over the last 12 months exceeded $5,000 or are expected to exceed $5,000 over the next 12 months;

 
Investigators also must disclose the occurrence of any reimbursed or sponsored travel (i.e., that which is paid on behalf of the Investigator and not reimbursed to the Investigator so that the exact monetary value may not be readily available), related to their Institutional Responsibilities.

 
  1. In addition, the following needs to be disclosed for Clinical Investigations covered by FDA regulations:
    1. Compensation made to the Investigator in which the value of compensation could be affected by the outcome of the study/research project.
    2. A proprietary interest in the tested product, including, but not limited to, a patent, trademark, copyright or licensing agreement.
    3. Significant payments of other sorts, which are payments that have a cumulative monetary value of $25,000 or more made by the sponsor of a covered study to the investigator or the investigators’ institution to support activities of the investigator exclusive of the costs of conducting the clinical study or other clinical studies, (e.g., a grant to fund ongoing research, compensation in the form of equipment or retainers for ongoing consultation or honoraria) during the time the clinical investigator is carrying out the study and for one year following completion of the study.
  2. Department of Energy
    1. For each disclosure investigators will comply with the DOE specific certification statement requirements.
  1. The term Significant Financial Interest does not include the following types of financial interests:
      1. Salary, royalties, or other remuneration paid by the Institution to the Investigator if the Investigator is currently employed or otherwise appointed by the University, including intellectual property rights assigned to the University and agreements to share in royalties related to such rights;
      2. Income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles;
      3. Income from seminars, lectures, or teaching engagements sponsored by a  federal,  state,  or local government agency, an institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education;**; or
      4. Income from service on advisory committees or review panels for a federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education.**
      5. Travel that is reimbursed or sponsored by a federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center,** or a research institute that is affiliated with an Institution of higher education.

    ** Department of Energy policy does not exclude academic teaching hospitals or medical centers for letters c, d and e above.

Sponsor: an individual company, or any entity which takes responsibility for the initiation, management, and/or financing of a research project, but which does not actually conduct the investigation.

 

PROCEDURES

I. Notification

A copy of this policy will be sent to all current Investigators and will be provided to all new Investigators upon hire. The policy is also available on the UConn website under “University Policies.”

 

II. Training

All PHS-funded and DOE- funded Investigators must complete training prior to engaging in PHS or DOE funded research and at least every four years thereafter as well as under the following circumstances (in the timeframes noted in parentheses):

  1. The University’s Financial Conflict of Interest policy changes such that Investigator requirements are affected (within 60 days).
  2. An Investigator is new to the University (prior to engaging in PHS or DOE funded research).
  3. The University finds that an Investigator is not in compliance with the Policy or a management plan, as applicable.

 

III. Disclosure of Significant Financial Interests

Each Investigator must disclose his/her known SFIs (including those of the Investigator’s Immediate Family) that reasonably appear to be related to the Investigator’s Institutional Responsibilities, or that would reasonably appear to be affected by the research for which funding is sought or are in entities whose financial interests would reasonably be affected by the research. In determining whether a financial interest has to be disclosed, the Investigator shall consult the definition of SFI within this policy and, if in doubt, resolve in favor of disclosure.

  1. Disclosure for each Proposal Submission: At the time of submission of a new proposal, an Investigator must have completed their online financial disclosure in the I nfoEd External Interests Module. The University will not submit a proposal until such disclosure has been submitted.
  2. Changes in SFI: An updated disclosure shall be completed and filed within thirty (30) days at any time when an Investigator acquires or discovers a new reportable SFI not disclosed in the last disclosure. For existing Investigators on a project, new or newly identified SFIs will be reviewed promptly to determine if an FCOI exists, create a management plan if necessary and report the newly identified FCOI to the sponsor within 60 days if required.
  3. Human Subject Research: When research involves human subjects, the Investigator must disclose SFIs to the Institutional Review Board (IRB) with every submission of protocols. If an Investigator has an FCOI, but a management plan is not on file, the IRB will contact the VPR or their designee and hold approval of the protocol until the FCOIR makes a determination.
  4. New Investigators: If research is ongoing and an Investigator newly participating in the project discloses an SFI related to that research, those SFIs will be reviewed promptly to determine if an FCOI exists, create a management plan if necessary and report the newly identified FCOI to the sponsor within 60 days if required.

 

IV. Determination, Resolution, and Management of a Conflict of Interest

  1. The VPR will review SFI Disclosure Forms and, if an SFI is disclosed, the Investigator will be required to complete a Supplemental Information Request to Significant Financial Interest Disclosure. The VPR or his/her delegate performs an initial administrative review and refers all disclosed SFIs to the Financial Conflict of Interest in Research Committee.
  2. The Financial Conflict of Interest in Research Committee (FCOIR) is appointed by the VPR and serves as the resource with respect to the determination of relatedness of SFIs and the identification and management of COIs. The FCOIRC shall include an appointed chair and (5) additional appointed members with broad representation across the University, and may include one community member who is not a University employee.
  3. The FCOIRC, with the help of the Investigator and/or his/her department head and based on guidelines consistent with all applicable regulations, will determine if the SFI is related to a sponsored research project and, if so related, whether the SFI constitutes a financial conflict of interest (FCOI).
  4. If the FCOIRC identifies an FCOI, it will resolve the conflict by elimination, mitigation, or the creation of a management plan. The Investigator has to agree in writing to the conditions listed in such management plan. The following are examples of conditions that may be imposed:

Public disclosure of SFIs, including disclosure on manuscripts submitted for publication, on abstracts and posters submitted for presentation, and on informed consent documents;

    1. Monitoring of the research by independent reviewers;
    2. Modification of the research;
    3. Disqualification from participation in all or a portion of the activities that could be affected by the FCOI;
    4. Divestiture or reduction of the SFI;
    5. Severance of relationships that create actual or potential conflicts.
  1. An FCOI must be eliminated or a management plan agreed to before a related award will be set up. Neither the institution nor an Investigator may expend funds unless it has been determined that no FCOI exists or that the FCOI is manageable in accordance with the terms of a management plan.

 

V. Notification/Reporting

If an FCOI is identified, the FCOIRC is responsible for:

  1. Notification of the Investigator of the management plan designed by the Committee for his/her FCOI;
  2. Notification of the Office for Sponsored Programs (OSP) to assure that no spending of funds from related grants occurs without prior approval of the FCOIRC.
  3. Notification of the Office of Research Compliance of FCOI management plan when the research involves human subjects.
  4. Notification of research sponsors, as required, of any FCOIs, including any measures taken to reduce, manage, or eliminate such conflicts. The elements of such a report shall include, at least, the items enumerated under the FCOI Regulations.

The VPR or his/her delegate will notify the above individuals, offices, and sponsors on behalf of the FCOIRC. Reasonable efforts will be made to maintain the privacy of information gathered in the FCOIRC’s deliberations, within the limits imposed by applicable laws and regulations.

 

VI. Maintenance of Records

All records related to the implementation of this policy (e.g., Individual Financial Disclosure Forms, Supplemental Information Forms, minutes of the meetings of the COI in Research Management Committee, notifications to funding agencies, actions taken to resolve or mitigate FCOIs, etc.) will be maintained securely by the VPR for a period of at least three (3) years beyond the termination or completion of the sponsored award to which they relate, or until the resolution of any action involving those records, whichever is longer.  FCOI records shall be subject to periodic review for compliance  with this policy by the VPR or by any agency per applicable regulations.

 

VII. Subrecipients

If a subrecipient carries out a portion of the work, University shall take reasonable steps to ensure that any subrecipient and subrecipient Investigator complies with the applicable FCOI regulation.

University will establish, via a written agreement, the governing FCOI policy.

  1. Sub-recipient will certify that its FCOI policy complies with the respective regulations and, further, sub-recipient will report identified FCOIs for its investigators in a time frame that allows University to report identified FCOIs to the awarding agency.
  2. Alternatively, if a sub-recipient lacks a compliant FCOI policy, the subrecipient will be governed by the University’s FCOI policy; University will solicit and review sub-recipient Investigator disclosures and identify, manage and report FCOIs to the sponsor.

In the event that a sub-recipient notifies University of an FCOI for sub-recipient Investigators for which University is the prime awardee, University will promptly notify the sponsor.

 

VIII. Public Accessibility

Prior to expending any funds under a PHS-funded grant, cooperative agreement or contract, the VPR shall ensure public accessibility of information about the FCOI, via a written response to any   requestor within five (5) business days of a request, of information concerning an SFI which was disclosed and is still held by the senior/key personnel on the project, which is determined to be  related to the PHS-funded research, and which is determined to be a FCOI. The information shall consist of the information required to be provided under the FCOI Regulations.

 

IX. Monitoring Compliance/Mitigation

  1. The VPR will monitor for compliance with the policy.
  2. If the VPR learns of an SFI that was not timely disclosed or was not timely reviewed, the VPR, or his/her delegate, shall, in consultation with the FCOIRC and no later than the sixtieth (60th) day after learning of the SFI:
    1. determine whether the SFI is an FCOI; and
    2. if an FCOI exists, implement an interim management plan or implement other interim measures to ensure the objectivity of the research going forward.
  1. If an FCOI was not timely identified or managed or if an Investigator fails to comply with a management plan, the VPR shall no later than the 120th day after determining noncompliance:
    1. complete and document a retrospective review and determination as to whether research conducted during the period of noncompliance was biased in the design, conduct, or reporting of the research; and
    2. implement any measures necessary with regard to Investigator’s participation in the research between the date that the noncompliance is identified and the date the retrospective review is completed.
  1. For PHS and DOE-covered research projects, the retrospective review shall cover key elements as specified by federal regulations and may result in updating the Financial Conflict of Interest Report, notifying the PHS or DOE awarding component, and submitting a mitigation report as required by federal regulation.
  2. University will notify the PHS and DOE of instances in which the failure of an Investigator to comply with this policy or a management plan appears to have biased the design, conduct, or reporting (and purpose for DOE funded research) of funded research. The University will make information available to HHS, PHS and DOE awarding component as required by federal regulation.

 

X. Appeals

  1. In situations where an Investigator disputes the decision of the FCOIRC, the Investigator may request to present the case to the FCOIRC in person. An Investigator  who  disagrees  with  the FCOIRC’s determination may appeal in writing to the VPR. An appeal may be made in regard to  whether the professional judgment of the Investigator is likely to affect his or her conduct of research, but Investigators may not contest the terms and conditions of this.
  2. The VPR may agree with the FCOIRC’s findings and/or recommendations, or may amend such findings and/or recommendations. The VPR shall promptly notify the Investigator and the FCOIRC in writing of the conclusions of his/her review, including the actions that must be taken by the Investigator to comply with this policy.
  3. Upon receipt of the VPR’s written report, the Investigator must promptly comply with the actions specified in that report.

 

XI. Implementation and Enforcement

The Provost is the senior administrator responsible for overseeing the implementation of this Policy. The Provost has delegated the disclosure/review/management process to the Vice President for Research or his/her designee (VPR). The VPR, in consultation with the Dean of the appropriate School and the Investigator(s) Department Head, will review all breaches of the policy, including:

  1. failure to comply with the process (by refusal to respond, by responding with incomplete or knowingly inaccurate information, or otherwise);
  2. failure to remedy conflicts; and
  3. failure to comply with a prescribed management plan

Sanctions and penalties for those who knowingly and willfully disregard this policy, or refuse to   comply with its terms, will be determined by the VPR, in consultation with the Dean of the appropriate School, with advice from the Investigator(s) Department Head and the Department  of Faculty and  Staff Labor Relations . Sanctions include, but are not restricted to:

  • Letter of reprimand
  • Notification to professional and/or scientific societies, funding agencies and/or professional journals
  • Reassignment of duties Termination of grant support
  • Adjustment of research space allocation Adjustment of salary
  • Suspension
  • Dismissal

 

XII. Audit Procedures

In order to ensure that all declarations are being made and financial conflicts managed, the University will implement a relevant audit program through the University’s Office of Audit and Management Advisory Services.

 

REFERENCES

[1] E.g. American Heart Association and American Cancer Society

[2] For purposes of this definition, remuneration includes salary and any payment for services not

otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship); equity interest includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value

 

POLICY HISTORY

Policy created: 01/23/2015

Revisions:          01/30/2023 (Approved by Senior Policy Council and the President)

                               

Financial Aid Code of Conduct

Posted on by
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

Undergraduate Education Field Trip Policy

Posted on by
Title: Undergraduate Education Field Trip Policy
Policy Owner: Office of the Provost
Applies to: Faculty, Staff, Students, Others
Campus Applicability:  Storrs and Regional Campuses
Effective Date: June 5, 2013
For More Information, Contact Office of the Provost
Contact Information: (860) 486-2421
Official Website: http://vped.uconn.edu/

 

Field Trips are an important component of the experiential learning advocated in the University’s academic plan for undergraduate education. In order to promote the success and safety of all involved in field trips, the University of Connecticut has established this Field Trip Policy.

I. PURPOSE

A. To establish a policy and related procedures for field trips that involve faculty members, support staff, students, and/or other persons.

II. REFERENCES

A. Student Code of the University of Connecticut

B. University Policies and Collective Bargaining Agreements

III. DEFINITIONS

A.  “Field Trip” means an educational off-campus excursion that is part of a credit-bearing academic course and is indicated on the course syllabus. Field trips do not include internships, study abroad, service learning assignments for individual students, on-campus excursions or trips by co-curricular groups (the Chess Club, the Chemistry Club, etc.). (See IV.A. for further information).

B. “Field Trip Participants” means University of Connecticut faculty, staff, and students connected with the course. Other University of Connecticut faculty, staff, and students may participate with permission of the field trip coordinator, but they do so at their own risk and they must follow the designated guidelines.

C. “Students” means part-time or full-time students enrolled at the University of Connecticut.

D. “Trip Director” means the faculty member or other University employee designated to be in charge of a field trip.

IV. GUIDELINES

A.  Instructors must give prior notice to students that their class includes Field Trips. Instructors should ensure that the Catalogue lists the Field Trip; however, at a minimum, instructors must notify students about Field Trips on the class syllabus and on the first day of class.

B. Field trips are University sponsored events and, as such, all relevant University policies, and state and federal laws apply to trip participants.

C. Field trips begin and end on campus. Students who join or leave the field trip at any other point do so at their own risk. Regional campus field trips may begin and end in designated commuter areas.

D. Field trips are either voluntary or mandatory. Voluntary field trips follow the same guidelines as those that are mandatory for the course.

E. The Trip Director has the responsibility to enforce compliance with University policies and the Student Code by all persons participating in the field trip as would be expected in the traditional classroom setting.

F. Students with disabilities must always be permitted to participate in field trips, and trips should be arranged in ways that reasonably accommodate them. Full consideration should be given by investigating the accessibility of the destination as well as transportation resources. Physical requirements should be clearly delineated and students should be afforded the opportunity to complete an alternate activity in the event that participation with reasonable accommodations is not feasible. Faculty members are encouraged to consult with students regarding accessibility concerns and may contact the Center for Students with Disabilities for assistance as well.

G. All participants are individually responsible for their personal conduct while on the field trip. The University has no obligation to protect them from the legal consequences of violations of law for which they may be responsible.

H. No alcoholic beverages or controlled substances shall be transported or consumed in any vehicle (private, rented, or leased) at ANY TIME or used or consumed during the course of the field trip.

I. No narcotics, illegal drugs, or other controlled substances may be in the possession of, or used by, any person engaged in the field trip.

J. Trip Directors must review and ensure compliance (including execution of any necessary forms) with the Field Trip Checklist while planning, preparing for, and executing a Field Trip.

V. SANCTIONS

A. Violations of this Field Trip Policy may be the basis of appropriate sanctions, including the initiation of formal charges under applicable provisions of the Student Code or the relevant collective bargaining agreements and University policies.

B. While actually engaged in a field trip, the Trip Director may enforce the provisions of this Field Trip Policy by withdrawal or limitation of privileges, or, in the event of repeated violations, by excluding the offending person from further participation and arranging to return the offender to the campus or to convey him/her to the nearest point of public transportation for return to the campus. The cost of such return transportation is a proper charge against University funds, but the University reserves the right to obtain reimbursement from the offender.

VI. VEHICLE USE

A. The University does not maintain a fleet of vehicles. If a vehicle is needed for a field trip, the department can rent or lease from a University-contracted rental agency. Drivers of rental vehicles must be employed by the university and must be at least 21 years of age. Insurance and damage waivers are required when renting a vehicle from a third party.

B. There may be occasions when you will drive your own vehicle for a field trip with the approval of the Trip Director. In that scenario, your own automobile insurance policy serves as the “primary” policy for third-party liability and physical damage to your vehicle. If a claim arising out of an accident exceeds your personal liability limits, then the University’s policy may cover the accident in excess of your policy, but only for liability, not damage to your vehicle. You are responsible for any deductible amounts under your policy.

C. Drivers of University owned, rented or leased vehicles must comply with the UConn Motor Vehicle Policy which can be found on the UConn ePolicy page. Questions regarding this policy should be directed to the Office of the Executive Vice President for Administration and Chief Financial Officer.

Any questions regarding this policy may be directed to the Office of the Vice Provost for Academic Affairs.

FERPA Policy

Posted on by
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: 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.
        • 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.

Faculty Compensation, Policy on

Posted on by
Title: Faculty Compensation, Policy On
Policy Owner: Office of the Provost / Department of Human Resources
Applies to: All Faculty excluding UConn Health
Campus Applicability: All campuses except UConn Health
Effective Date: November 11, 2022
For More Information, Contact  Office of the Provost: provost@uconn.edu

Human Resources: hr@uconn.edu
Contact Information: (860) 486-3034
Official Website: http://www.hr.uconn.edu/

PURPOSE

To establish the standards under which regular payroll faculty may receive compensation from the University or external entities. As defined in this policy, such compensation must be in conformance with relevant state and federal regulations, including 2 CFR Part 200 (commonly referred to as Uniform Guidance) and the Connecticut Guide to the State Code of Ethics. This policy also defines the administration of faculty appointment terms.
This policy does not define rates of pay for activities or other contractual terms outlined in the collective bargaining agreement between the University of Connecticut and American Association of University Professors.

APPLIES TO 

All Faculty excluding UConn Health. Faculty refers to all regular payroll faculty: tenured and tenure-track, clinical, in-residence, research, extension, visiting, and lecturers. This policy does not apply to coaches/trainers, adjuncts, or academic staff: research assistants/associates, academic assistants, or scientist/scholars.

POLICY STATEMENT

Compensation for all applicable audiences must fall under regular compensation, summer salary, overload pay, consulting, or prizes and awards. All applicable employees and employees responsible for appointing or administering compensation for applicable employees must consider the full compensation landscape at UConn and comply with this policy and its accompanying Faculty Compensation Procedures.

I.         Regular Compensation

Appointment Term and Work Period. All faculty are appointed to either an academic year or annual year position. An academic year position has a nine- or ten-month assignment, in which the regular duties and responsibilities of the role fall primarily during the academic year[i]. The work period for an academic year position is defined in the Procedures. An annual year position has an eleven-month assignment, in which the regular duties and responsibilities of the role require effort consistently throughout the full year. The work period is all year round. Under the University’s faculty pay model, faculty are paid for 9-, 10-, and 11-month appointments over 12 months. Both academic year and annual year positions are paid over twelve months.

Salary. Full-time annual salary represents full renumeration for the duties and responsibilities associated with a faculty member’s regular workload and respective appointment term. Faculty may not receive additional compensation from university or external sources during the regular work period[ii] unless explicitly approved according to the summer salary, overload, consulting, or prizes/awards sections of this policy.

  1. Annual salary: Annual salary is the total compensation over the course of the year for the regular faculty appointment. Faculty have one or more pay components which comprise their annual salary:
    1. Base salary: Base salary is the base component of a faculty member’s annual salary, reflecting the pay tied only to the base term and    respective workload. All faculty have a base term and base component of their annual salary.
    2.  Additional Months: Faculty may have one or two additional months of effort/pay depending on the scope and complexity of a faculty administrator assignment. The rate of pay for this component is tied to the base salary rate.
    3.  Administrative Supplement: Faculty may earn a supplement for administrative work that is above their base pay or additional months. The rate of pay is not tied to the base salary rate.

b. Institutional Base Salary (IBS) is a term used specifically for sponsored projects and stems from the Office of Management and Budget’s  Uniform Guidance. IBS is the annual compensation paid for an individual’s regular appointment term and corresponding workload. At UConn, this is the equivalent of “annual salary” as defined above. IBS is inclusive of all regular pay components. A faculty member’s IBS is compensation for time spent on research, teaching, administration, or service. Institutional base salary does not include one-time payments, summer salary, or consulting.

        Workload. Every faculty member has a defined workload. The scope of work for a base faculty appointment typically includes some combination of teaching, research, and service, as defined in the appointment letter or the department’s governance documents. Any change to a faculty member’s defined workload such as a course reduction or administrative assignment must be approved by appropriate parties based on school/college policy and clearly documented with the dean’s office.

        Administrative Assignment. Faculty may be appointed to an administrative assignment with pay when the duties and responsibilities clearly exceed an individual’s base faculty appointment, and the required effort takes place over the course of the year. Administrative assignments may include a temporary redefinition of the individual’s appointment term, annual salary, or workload for the length of the appointment. Administrative assignments must be approved in writing by the Dean and any other supervisors in advance of an offer. Appointments must include an appointment letter describing the terms of the appointment and must be processed through regular payroll. The new full-time annual salary associated with an administrative assignment represents full renumeration for the new workload and may consist of multiple pay components. The University applies salary increases proportionately to each pay component, with the exception of promotional increases which apply only to the base salary component. Administrative appointments are at-will and subject to non-renewal or termination at the discretion of the supervisor. Should a faculty member no longer continue in an administrative appointment, the faculty member will return to the base faculty appointment term and base faculty rate in effect at that time.

        Compensation above the institutional base salary is not permitted on activities funded by federal grants or contracts.

        Research/Professional and Sabbatical Leaves. Research/professional leaves and sabbatical leaves are considered active service to the University and a redefinition of the faculty member’s regular workload for the leave period. Sabbatical pay is based on the faculty base appointment. Please refer to the provost’s guidelines for the administration of faculty leaves of absence.

        II.       Summer Salary

        Faculty may be assigned teaching, research, service, or administrative duties during the period in which they are not already scheduled to work according to their regular academic year or annual year appointment. The table below describes the maximum effort and compensation a faculty member may earn as summer salary according to regular appointment term. Time and pay for faculty working on externally funded sponsored projects or the equivalent effort on university funds cannot exceed the daily rate of pay for daily effort (i.e., max pay cannot be condensed and paid out over a shorter period).

        Appointment Term Effort Proportion of Current Full-Time Annual Salary Time Period[iii]
        Nine-month Three months 3/9 May 23 – August 22
        Ten-month Two months 2/10 June 23 – August 22
        Eleven-month One month 1/11 Eligible to be paid out at any point in the year

        Eleven-month faculty appointments are unique in that faculty are scheduled to work all year round, with one additional month of non-work time spread out over the course of the year. Given there is no pre-determined period in which this additional month takes place, faculty may earn their additional month of compensation at any point in the year, subject to all other requirements of this policy.

        It is the responsibility of the faculty performing research activities for grants or contracts to adhere to the policies of the applicable funding agency during this period. Many federal agencies have additional compensation stipulations. For instance, at the time of this writing, NSF has proposal limits on summer earnings to the equivalent of two months of salary, and HHS “restricts the amount of direct salary of an individual under an NIH grant or cooperative agreement or applicable contract to Executive Level II of the Federal Executive Pay scale.”

        Summer salary compensation may be waived if the faculty member chooses to accept payment in the form of faculty research funds. Such requests must be clearly documented, in advance of performing services, in line with the Procedures. Waived compensation in the form of faculty research funds is not considered personal compensation and cannot be used to supplement a faculty member’s full-time annual salary or summer salary in future years. Waived compensation is not included in the determination of the aforementioned maximum compensation.

        III.     Overload Pay

        On occasion, faculty may be asked to perform work for the University that is substantially different from or in addition to the essential duties and responsibilities defined in the faculty member’s regular appointment. Such work must contribute to the mission and necessary business of the University. Faculty being considered for overload activities must demonstrate a unique qualification to perform the work. Overload pay may be appropriate for activities including, but not limited to, teaching during winter or May intercession, online course development sponsored by CETL, outreach, performance, or academic/student support. All requests for overload pay must be approved by the department head, dean, provost, and human resources as needed via the University’s formal approval process[iv] in advance of the start of the activity. Total overload pay should not exceed 25% of the twelve-month equivalent of annual salary each year. Any exception to the 25% cap will be rare and requires department head, dean, provost, and president approval. Overload assignments will only be considered if they meet the following criteria:

        1. The activity must not interfere with the faculty member’s ability to carry out the duties and responsibilities associated with their regular faculty appointment. The individual must be satisfactorily performing regularly assigned duties.
        2. The activity must clearly fall outside of full-time (100%) effort in the regular appointment and should not be used as a regular supplement to an individual’s salary.

        Overload compensation may be waived if the faculty member chooses to accept payment in the form of faculty research funds. Such requests must be clearly documented, in advance of performing services, in line with the Procedures. Waived compensation in the form of faculty research funds is not considered personal compensation and cannot be used to supplement a faculty member’s full-time annual salary or summer salary in future years.

        IV.    Consulting

        Consulting is an activity performed by a faculty member for compensation because of their expertise in their field (while not acting as a university employee), across any period of the year. Consulting encompasses work including, but not limited to; receiving honoraria for talks, consulting on research with other entities, clinical work with other entities (even when required to continue licensure needed for the faculty member’s appointment), teaching at other institutions, consulting with private industry, and compensated or uncompensated work with faculty-affiliated companies. Consulting is governed by the “Policy on Consulting for Faculty and Members of the Faculty Bargaining Unit” and associated Procedures. It is the responsibility of the faculty member to adhere to all policies and to follow all procedures related to faculty consulting. These can be found at policy.uconn.edu.

        Royalties received by a faculty member do not fall under the purview of the consulting policy or any other aspect of this compensation policy.

        V.      Prizes and Awards

        Compensation in recognition of internal or external awards is allowable according to the criteria defined below and does not contribute towards total eligible earnings for regular, summer, and overload pay.

        Internal Awards. The University may award faculty in recognition of exceptional teaching, research, or service to the University. Awards should represent significant accomplishment and can in no way reflect payment for services. Whenever appropriate and possible, award programs should reward faculty with faculty research funds (waived compensation) rather than personal compensation. Whether waived compensation or personal compensation, the payment type must be determined and communicated clearly when establishing award criteria and cannot be changed once an award has been granted. An individual faculty member may not normally accept more than $10,000 in personal compensation awards each year. Criteria for awards should be established and communicated in advance of the selection process; the selection of awardees should be conducted by a committee with expertise in the relevant area. Newly established award programs must be approved in writing by the dean and provost in advance. Once an award program has been established, individual award payments in the form of personal compensation must be approved in writing by the dean prior to payment. Internal awards are not considered part of a faculty member’s full-time annual or institutional base salary. Internal awards cannot be charged to grants.

        External Prizes and Awards. The University acknowledges that faculty may be the recipient of national and international awards of excellence which may include a monetary award. Such external awards bring recognition to the recipient and to the University. Awards should represent significant accomplishment and can in no way reflect payment for services. Faculty must notify the provost upon notice of award recognition, prior to accepting any compensation, to evaluate whether a monetary award qualifies for this status.[v]  External awards are not considered part of a faculty member’s full-time annual or institutional base salary.

        ENFORCEMENT

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

        PROCEDURES/FORMS

        Procedures for the Faculty Compensation Policy and other resources are available here.

        Guide to the State Code of Ethics

        [i] Dates defined in Faculty Compensation Procedures/Pay Model

        [ii] Defined in Faculty Compensation Procedures/Pay Model

        [iii] Dates may vary in leap years. Office of Payroll determines exact dates of work period according to Faculty Pay Model.

        [iv] Defined in Faculty Compensation Procedures

        [v] Provost will consult with appropriate offices, including Office of University Compliance and Tax and Compliance. Protocols defined in Faculty Compensation Procedures

        POLICY HISTORY

        Policy Created:  April 11, 2006 [Extra Compensation Policy Approved by the Board of Trustees]

        Revisions: June 13, 2022 [Approved by the President; Effective date November 10, 2022]; June 10, 2015 [Approved by Board of Trustees]; September 26, 2006 [Approved by Board of Trustees];

         

        Employment and Contracting for Service of Relatives, Policy on

        Posted on by
        Title: Employment and Contracting for Service of Relatives, Policy on
        Policy Owner: Office of University Compliance and the Office of Faculty & Staff Labor Relations/Human Resources
        Applies to: Faculty, Staff, Others
        Campus Applicability: All Campuses
        Effective Date: February 7, 2011
        For More Information, Contact Office of University Compliance and the Office of Faculty and Staff Labor Relations (Storrs) or Human Resources (UConn Health)
        Contact Information: UConn Health: (860) 679-4180 or (860) 679-2426
        Storrs/Storrs Based Campuses: (860) 486-2530 or (860) 486-5684
        Official Website:  https://compliance.uconn.edu/ethics-overview/ or http://lr.uconn.edu

        PURPOSE

        The employment or contracting for service of relatives in the same department or area of an organization may cause conflicts and serve as the basis for complaints concerning disparate treatment and favoritism as well as violations of the state’s Ethics statute.

        This policy is established to protect against such conflicts and complaints, and to provide for the ethical and legally consistent treatment of individuals with relatives seeking employment or who are employed by the University.

        POLICY

        No employee of the University of Connecticut may be the direct supervisor of or take any action which would affect the financial interests of one’s relative. This may include decisions regarding appointment, award of a contract, promotion, demotion, disciplinary action, discharge, assignment, transfer, approval of time-off, and approval of training or development opportunities, as well as conducting performance evaluations or participating in any other employment action, including serving on a search committee acting on a relative’s application, or otherwise acting on behalf of a relative except as noted under “Procedure” below. Further, no employee may use his/her position to influence an employment action of a non-relative if such action would benefit one’s relative.

        For purposes of this policy, relative is defined as: spouse, child, step-child, child’s spouse, parent, brother, sister, brother-in-law, sister-in-law, dependent relative or a relative domiciled in the employee’s household.

        PROCEDURE

        The University recognizes the potential for conflict of interest, claims of disparate treatment and/ or discrimination in the employment of relatives in the same department, work unit or in a direct or indirect supervisory relationship. The University further recognizes that there are infrequent but compelling circumstances under which such employment relationships may be in the best interests of the institution. Thus, to protect both the involved employee and the institution in those situations, the following procedure must be followed.

        1. No employee may sign any document that would affect an employment action on behalf of a relative.
        2. An employee who is confronted with an employment decision or action involving a relative must inform the immediate supervisor in advance, in writing, of the situation. The employee will describe the relationship and the proposed action requiring a decision by using Section 1 of the Conflict of Interest (COI) Disclosure form available here.
        3. The COI is submitted through the supervisory chain to the dean/director and then to the appropriate senior manager.  Using Section 2 of the COI Disclosure form, the dean/director shall propose to the senior manager an appropriate conflict resolution plan (CRP) to resolve the conflict.  In general the CRP  should address how the required decisions will be made to avoid any conflicts.
        4. The senior manager shall determine if the proposed plan for the resolution of the conflict is within the best interest of the institution, and approve or modify the plan using Section 3 of the COI Disclosure form. The written resolution and implementation of the plan shall be communicated to the dean/director and through the supervisory chain to the employee(s) involved in the conflict of interest.
        5. The supervisor, dean/director, or provost/vice president (the first level outside of the reporting process of each person in the conflict) shall oversee the implementation of CRP.
        6. Should the conflict involve the provost or a vice president, then the actions/decision shall be directed to the president or designee.

        Note:  Under no circumstances will the University approve the employment of dependent children or step-children as student employees under direct or indirect supervisory relationships.

        * Senior Manager is defined as the Provost or Vice President level.

        POLICY HISTORY

        This policy was approved by the Board of Trustees on 11-09-2010.