Month: May 2011

Electronic Privacy and Disclaimer Notice

Posted on May 19, 2011April 5, 2019 by Fearney, Kimberly

Title:	Electronic Privacy and Disclaimer Notice
Policy Owner:	Information Technology Services
Applies to:	Faculty, Staff, Students
Campus Applicability:	Storrs and Regionals
Effective Date:	June 14, 2007
For More Information, Contact	Information Technology Services
Contact Information:	(860) 486-4357
Official Website:	https://its.uconn.edu/

Background and reason for the policy: The University of Connecticut maintains the University of Connecticut website (http://www.uconn.edu/) as a service to its students, employees and external constituencies.

It is the policy of the University of Connecticut to respect and protect the privacy of its website users consistent with Federal and State laws such as:

Family Rights and Privacy Act (FERPA),
the Health Insurance Portability and Accountability Act (HIPAA),
the Electronic Communications Privacy Act (ECPA),
the Gramm-Leach-Bliley Act (GLB),
the Children’s Online Privacy Protection Act (COPPA),
the Connecticut Freedom of Information Action (FOIA), and
the Connecticut Personal Data Act.

Purpose of Policy: The purpose of this policy is to ensure that all official University of Connecticut websites include an electronic privacy statement about the information that is collected by their website (both automatically and voluntarily) and how that information is used.

Expected Institutional Outcome: It is expected that this policy will result in better protection of visitor’s privacy by clarifying the University’s commitment to privacy and to address concerns about the types of information gathered during the course of visiting any official website, and how the University uses that information.

Applicability of Policy: This policy applies to all information collected by or submitted to official websites of the University of Connecticut and to all visitors to these websites.

Definitions:

Official University Websites: Websites that are sponsored by the University of Connecticut, whether they are stored on the University’s central server, on a University distributed server, or on a hosted or managed web server provided by a third party.

Official University Webpages: Official University of Connecticut webpages are those that have been created by the University, its campuses, colleges, schools, departments or other administrative unit, for University business. Official University webpages clearly convey a relationship to the entire University and support and advance the University’s mission.

Statement of Policy:

All official University of Connecticut websites will be required to adhere to the terms and conditions employed at the University of Connecticut as outlined in this policy and inform visitors of how information at that site is managed through the posting of an electronic privacy and disclaimer statement. Individual web sites may either link to the University’s Electronic Privacy and Disclaimer Notice (University’s Notice) or develop specific notices about the collection and use of any information associated with their pages consistent with the University’s policies.

Terms and Conditions Governing Official University of Connecticut websites:

1. Use of Social Security Number: As indicated by the Social Security Number policy, the University of Connecticut considers the social security number as registered confidential and legally protected data. Collection, storage and use of the social security number will be in accordance with the Social Security Number policy.

2. Public and Non-Public Information: The University of Connecticut designates certain information pertaining to students as public or “Directory Information.” The specific data that is classified as “Directory Information” can be obtained from the Registrar’s Office FERPA web page (http://ferpa.uconn.edu/). Except when requested in writing by the individual, “Directory Information” may be distributed electronically and/or made available on the web without providing any security protection for the information. Non-public information (or when requested by the individual, public information) must not be made available via the web, nor stored for internal use via the web, nor transmitted electronically, even to those who are entitled to the information, without utilizing adequate security measures.

3. Use of Cookies: Cookies are small pieces of data passed from a web site to your hard drive usually to enable some online services to work more efficiently or to make the use of services more convenient. The University of Connecticut generally will not use cookies to track and/or retain personally-identifiable information without proper notification. However, the University reserves the right to associate personally- identifiable information with cookies. Such information will not be disclosed to outside parties unless legally required to do so in connection with legal proceedings or law enforcement investigations.

4. Use of Email: In spite of the good intentions of the University to respect the privacy of individuals, it should be understood that it is impossible to assure the privacy of email. Not only may email be sent to someone other than the intended recipient (either through mis-addressing or forwarding), but email sent as plain text may also be intercepted as it travels over the network. In addition, as part of the University’s backup and archival practices, email may continue to exist in spite of the owner’s belief that the message had been deleted.

5. Use of Forms: The University of Connecticut respects your privacy and does not condone providing any of your personal information to third parties without your permission, unless compelled by law or court order to do so, or to sell any personal information to third parties for purposes of marketing, advertising, or promotion.

6. Collection and Use of Information: In the course of visiting a web site, the University of Connecticut permits the following information to be collected, stored and used:

a. Automatic Information Collected

i. Routing information such as IP address. Routing information is used to route the requested web page to your computer for viewing.

ii. Essential technical information including, but not limited to: page accessed; time and date accessed; operating system used; type of browser used; information about the web site from which you accessed a University of Connecticut web site and connection statistics (e.g. ports, number of bytes, number of packets, time of 1^st and last packet, etc.). Essential technical information is used for such purposes as helping to respond to your request in an appropriate format and helping to plan website improvements.

This information is not to be reported or used in any manner that would reveal personally identifying information or to be released to any outside (third) parties unless legally required. However, it should be noted that when required by law, this information, along with other information that might be available, may enable us to identify an individual involved in a specific transmission.

b. Personal Information Voluntarily Provided by the Individual

In the course of visiting a web site (e.g. sending an email message, filling in an on-line form, etc.), individuals may choose to provide additional personally- identifying information such as name, address, email address, social security number, password, bank account information, credit card information, or any combination of data that can be used to identify an individual. Optional information, including any email communications, is retained in accordance with the University’s records retention schedules and may be subject to public inspection and copying if not protected by federal or state law.

7. Links: The provision of links from official University of Connecticut web sites to other sites does not imply endorsement of the information or services offered by these linked sites nor does the University’s privacy policies apply to these other sites. Individuals who choose to link to any third party site should review the privacy practices of that site before providing any personally identifiable information to that site.

8. Limits to Privacy: The use of University resources, including computing and networking equipment and services, purchased with University funds, are intended for University business. While it is not the intention of the University to actively monitor communications or files stored or transmitted on University systems or devices, individuals must understand that under certain circumstances they may not have a right to privacy to such information. Such circumstances include but are not limited to: compliance with legal requirements or process; investigation of suspected violations of law, regulation or University policy; maintaining the integrity of the University’s computing systems.

9. Freedom of Information Requests: Under the “Connecticut Freedom of Information Act,” except as otherwise provided by federal law or state statute, all records maintained or kept on file by or at the University of Connecticut are considered public records and are subject to inspection by members of the public. As a member of the University community, your email and any information collected in the course of visiting a web site are considered public records and may be subject to Freedom of Information disclosure. In some cases, email messages about students may fall under the FERPA definition of “education records” and therefore may be subject to the provisions of FERPA regarding the release of the information and the student’s right to inspect and review the information.

10. Disclosure of Personal Data to Third Parties: In some cases the University may share personal data with third parties with whom we have a business arrangement. In all cases, the department entering into the agreement will ensure that the third party has formally agreed to protect the security of that data in compliance with the University’s Confidential Electronic Data Security Standard.

Responsibilities:

The Chief Information Officer has overall responsibility for this policy.

Questions concerning this policy may be directed to the IT Security Officer or to the University Privacy Officer.

The Chief Information Officer will review this policy on a bi-annual basis and respond to formal complaints resulting from the implementation of this policy.
Violations of this policy will result in appropriate disciplinary measures in accordance with University Laws and Bylaws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Conduct Code.

Electronic (E-mail) Communication Policy

Posted on May 19, 2011August 31, 2023 by Fearney, Kimberly

Title:	Electronic (E-mail) Communication Policy
Policy Owner:	Information Technology Services
Applies to:	Faculty, Staff, Affiliates and Student Employees
Campus Applicability:	Storrs and Regionals, except UConn Health
Approval Date:	August 30, 2023
Effective Date:	October 1, 2023
For More Information, Contact:	UConn Information Technology Services
Contact Information:	techsupport@uconn.edu
Official Website:	https://its.uconn.edu

DEFINITIONS

University Provided Email Services – University-provided email services refers to the email accounts and related services that educational institutions offer to their students, faculty, and staff. These email services can be hosted on the University’s servers or in the cloud and come with an email address in the form of username@uconn.edu

PURPOSE

This policy applies to all uses and users of University provided email services, including faculty, staff, volunteers, contractors and affiliates. The purpose of this policy is to describe the permitted and appropriate use of University provided email to ensure compliance with relevant laws, regulations and policies, including those concerning the retention and protection of emails and attendant data.

POLICY STATEMENT

The University provides email services to support activities associated with academic, administrative, research and philanthropic functions in support of its overall mission. The University recognizes and has established email as an official means of communication. All faculty and staff are provided a UCONN.EDU email account which is the official address to which the University will send email communications. All communications related to University functions shall use the University provided email services to ensure compliance with University policies and regulatory compliance.

Individual Users are expected to read in a timely manner all official University email messages sent to their University email address.

University email services are provided solely for the purpose of conducting University business and are subject to all applicable University policies including the Code of Conduct as well as state and federal laws. Occasional use of email services for personal, non-University related purposes is allowed but subject to the Code of Conduct.

University email accounts and information sent via University email services are the property of the University. As a public institution, with limited exceptions, virtually all University records, including email communications, are subject to laws governing public records. Because University email accounts are University property, the University has the right to access such accounts for legitimate business purposes as may be required and/or authorized by appropriate parties. This includes but is not limited to access necessary to respond to requests made pursuant to the Connecticut Freedom of Information Act (FOIA), the Family Educational Rights and Privacy Act (FERPA),and/or subpoenas. Individuals are prohibited from directly accessing the email accounts of others unless they are authorized to do so for University business purposes.

Users of University email services are responsible for safeguarding the privacy and security of information sent electronically in accordance with applicable laws and policies. Automated copying or forwarding of email from University accounts to non-University accounts is prohibited. Any user who moves a copy of email sent to a University email account to a non-University email account expressly assumes personal responsibility for the security and privacy of that email and any information contained therein. Moving a University email into a non-University account may subject the non-University account to review in response to a subpoena, FOIA request or other legal process.

RELATED UNIVERSITY POLICIES

Code of Conduct

Electronic Privacy and Disclaimer Notice

FERPA Policy

General Rules of Conduct

Records Management Policy

University Guide to the State Code of Ethics

POLICY HISTORY

Policy adopted: November 14, 2003

Revisions:
June 1, 2005
June 19, 2007
March 13, 2015
August 30, 2023 (Approved by the Senior Policy Council and the President)

Health and Safety Policy

Posted on May 19, 2011February 12, 2025 by Fearney, Kimberly

Title:	Health and Safety Policy
Policy Owner:	Department of Environmental Health and Safety
Applies to:	Faculty, Staff, Students, Others
Campus Applicability:	UConn Storrs, Regionals, and the Law School
Effective Date:	April 27, 2023
For More Information, Contact	Department of Environmental Health and Safety
Contact Information:	(860) 486-3613 or ehs@uconn.edu
Official Website:	http://www.ehs.uconn.edu/

PURPOSE

The University of Connecticut is committed to providing a safe and healthful environment for all activities under the jurisdiction of the University. Accordingly, the University has developed this top level over-arching health and safety policy to outline responsibilities and establish the framework of compliance with all applicable Federal, State and local regulations and University policies and procedures pertaining to worker safety and public health.* Compliance with this policy along with subordinate health and safety policies, programs and procedures linked at the end of this policy document is mandatory.

APPLIES TO

This policy applies to all faculty, staff, students, researchers, and all other individuals working at the University of Connecticut Storrs, regional campuses and the Law School.

POLICY STATEMENT

The health and safety of all faculty, staff, students and visitors shall be a principal consideration in the planning and conduct of all University activities and programs, and in the design, construction, modification, or renovation of all University buildings and facilities.

This broad policy requires that health and safety regulations of Federal, State and local authorities, appropriate consensus standards of recognized organizations, and University specific policies are met.

ENFORCEMENT

Violations of this policy including, subordinate health and safety policies, programs or procedures may result in disciplinary measures in accordance with University Laws and By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Code.

RESPONSIBILITIES

Individuals – Safety is the responsibility of each and every person at the University of Connecticut. All members of the University community are individually and collectively the owners of safety and share the responsibility to provide and maintain a safe environment. Each individual is expected to comply with health and safety regulations and University policies, programs and procedures; perform work in a safe and sensible manner and to act to ensure the health and safety of self, coworkers, fellow students and all others at the University.

Individuals working for the University (employees) are required within five days of employment, transfer or job change to discuss potential hazards that they may encounter during the course of their employment with their supervisor. That discussion shall include identification of workplace hazards along with required controls, personal protective equipment (PPE) and requisite safety training. Completion and submission of an employee specific Employee Safety Training Assessment defines required safety training. Individuals are responsible to comply with defined controls, wear the appropriate PPE and attend requisite safety training in a timely manner.

Principal Investigators/Unit Managers – All personnel who assign and/or oversee work are responsible to ensure that compliant work controls and procedures consistent with Federal, State and local regulations and University policies are implemented to provide for the protection of all personnel and to safeguard the environment. PIs/Unit Managers in consultation with EHS shall respond in a timely manner to address safety complaints, non-compliances and mitigate potentially unsafe conditions. PIs/Unit Managers should set, by example, high standards for health and safety. These standards must be consistently applied and appropriate action taken when personnel fail to meet them.

PIs/Unit Managers (supervisors) are responsible to identify hazards in the work environment along with required controls and PPE using the Workplace Hazard Assessment (WHA) form. The WHA must be kept current and reviewed regularly.

The WHA and the ESTA are generic tools that must be used by the PI/Unit Manager (or designee) to document review of hazards in the workplace along with appropriate controls, PPE and safety training. The ESTA must be completed with the employee within five days of their arrival, transfer or job change. Failure to complete an ESTA or to ensure that employees attend the required training may result in disciplinary action.

Deans, Directors, and Department Heads – Each Dean, Director, and Department Head is charged to ensure organizational compliance with regulations and University policies and with maintaining a healthful and safe environment for all personnel. They are expected to take appropriate action to ensure all identified hazards are addressed and identified issues of non-compliance corrected in a timely manner.

Updates are requested from each Dean, Department Head and Director to the Building and Emergency Contact Listing (BEC List) to ensure the timely and effective communication of information to assigned contacts within each building, regarding emergencies, incidents, projects, and other activities that may impact the health and safety of building occupants.

The Department of Environmental Health and Safety (EHS) – EHS is charged by the University with implementing all University health and safety policies and procedures* in the Biological, Chemical, Occupational, Public Health, Environmental, and Radiation health and safety fields. EHS has been authorized by, and is accountable to, the University President and Senior University Management to identify, assess and enforce this Health and Safety policy and subordinate health and safety regulations, policies, and procedures.

EHS is responsible for maintaining a comprehensive program that combines training, consultation, control, and inspection to protect the health and safety of all personnel in the course of University sanctioned activities. EHS staff provides professional services to measure and evaluate hazards to which the University community may be exposed and ensure compliance with regulations and University policies. EHS’s responsibilities include:

Ensure that all written policies, procedures, and training materials for applicable health and safety regulatory standards are established, current, and available for delivery to appropriate campus groups;
Maintain an up-to-date webpage to enhance access to health and safety policies, procedures, technical guidance documents, and compliance assistance information;
Facilitate health and safety communications with the University community, and stress the importance of campus wide adherence to appropriate regulations, standards, and policies;
Provide graded approach (risk based) inspection services to enhance campus health and safety; and facilitate timely correction of identified non-compliances through escalating notification and enforcement;
Verify completion, adequacy, and adherence to required health and safety tools (e.g., WHA, ESTAs);
Promote EHS’s role as an environmental health and safety information resource ready to meet the needs of the campus community; and
Take appropriate measures (including Stop Work Authority for imminent hazard situations) to maintain acceptable margins of safety and regulatory compliance over all University operations.

* Matters pertaining to public safety, fire safety, and building code compliance, are addressed by other units within the Division of University Safety.

Administrative Oversight – The Associate Vice President of University Safety and the Director of EHS review and approve health and safety policies for the University on behalf of the President and Board of Trustees. The Associate Vice President of University Safety is the responsible Senior University Manager for EHS and oversees the implementation of these policies.

COMMITTEES

Environmental Health and Safety Committee

The Environmental Health and Safety Committee has a diverse membership appointed by the Associate Vice President of University Safety. Members represent the administration, faculty, and staff along with collective bargaining units, and students. The Committee meets quarterly, as mandated by CT General Statute 31-40v, “Establishment of Safety and Health Committees by Certain Employers,” to fulfill its functions and responsibilities. The committee is charged with but not limited to establishing procedures for sharing ideas with the employer concerning:

Safety inspections;
Investigating safety incidents, accidents, illnesses, and deaths;
Evaluating accident and illness prevention programs;
Establishing training programs for the identification and reduction of hazards in the workplace which damage the reproductive system of employees; and
Establishing training programs to assist committee members in understanding and identifying the effects of employee substance abuse on workplace accidents and safety.

Focused Subject Matter Safety Committees

A number of safety committees reporting to the Vice President of Research have been established that address aspects of health and safety specific to research activities or focused subject matter. These committees serve as advisory boards and research protocol review boards working in partnership with EHS to fulfill University goals. Committee and subject matter information is linked below.

Chemical Hygiene Committee
Institutional Biosafety Committee (IBC)
Institutional Animal Care and Use Committee (IACUC)
Institutional Review Board (IRB)
Laser Safety Committee
Radiation Safety Committee

PROCEDURES/FORMS

Building and Emergency Contact (BEC) list
Employee Safety Training Assessment (ESTA)
Workplace Hazard Assessment (WHA)

ENVIRONMENTAL HEALTH and SAFETY POLICIES, PROGRAMS AND PROCEDURES

The University Health and Safety Policy is implemented through a series of policies, programs, procedures and other documents, as appropriate to the operations of UConn. These documents have been developed by EHS in response to regulatory requirements and/or University committee decisions. These items, listed below, are mandatory in nature, and must be followed to ensure compliance. They can also be found on the EHS website at: http://www.ehs.uconn.edu/ppp/

Analytical X-Ray Safety Program
Arboricultural Operations Procedures
Asbestos Management Plan
Biological Safety Manual
Bloodborne Pathogens Exposure Control Plan
Chemical Hygiene Plan
Chemical Waste Disposal Manual
Confined Spaced Program
Contractor EHS Manual
Controlled Substances Policy
Electrical Safety Program
Excavation and Trenching Procedures
Fall Protection Program
Food Service Policies
General Workplace Health & Safety Inspection Program
Hazard Communication Program
Hearing Conservation Program
Laboratory Chemical Inventory Program
Laboratory Inspection Program
Laser Safety Manual
Lockout/Tagout Program
Occupational Health and Safety Program for Animal Handlers
PCB Management Plan
Powered Industrial Truck Program
Radiation Safety Committee Policy on Minor Modifications to an Existing Protocol
Radiation Safety Manual
Respirator Program
Rooftop Laboratory Exhaust Systems Maintenance Procedure
Silica in Construction Exposure Plan
Silica in General Industry Exposure Control Plan
Space Heaters Policy
Transportation of Biological Materials
Working Alone Policy

POLICY HISTORY

Policy created: 10/14/2014 (Approved by Senior Policy Council)
Revisions: 03/10/2023 (Approved by Senior Policy Council 04/26/2023)

By-Laws, Rules, and Regulations of the University Senate

Posted on May 19, 2011April 24, 2025 by Fearney, Kimberly

Title:	By-Laws, Rules, and Regulations of the University Senate
Policy Owner:	University Senate
Applies to:	Faculty, Staff, Students, Others
Campus Applicability:	All University Campuses, except UConn Health
Effective Date:	April 7, 2025
For More Information, Contact	University Senate Office
Contact Information:	(860) 486-2236
Official Website:	http://www.senate.uconn.edu/

The University Senate By-Laws, Rules, and Regulations are available for download as a PDF.

Driving and Motor Vehicle Policies

Posted on May 19, 2011October 10, 2017 by Fearney, Kimberly

Title:	Fleet Services Manual
Policy Owner:	Transportation Services
Applies to:	Faculty, Staff, Students, Others
Campus Applicability:	Storrs and Regional Campuses
Effective Date:	October 9, 2017
For More Information, Contact	Transportation Services
Contact Information:	(860) 486-6685
Official Website:	http://transpo.uconn.edu/

Purpose

The University of Connecticut (UConn) Fleet Services relies on the operation of UConn-owned motor vehicles to conduct official business. UConn Fleet Services is committed to minimizing transportation costs, reducing risk, safeguarding personnel, protecting and maintaining property, and clarifying acceptable use This policy manual was developed to support these commitments.

The full Fleet Services Manual is available via PDF.

Faculty and Staff Handbook

Posted on May 17, 2011October 7, 2020 by Fearney, Kimberly

Title:	Faculty and Staff Handbook
Policy Owner:	Office of the Provost
Applies to:	Faculty and Staff
Campus Applicability:	Resource for All Campuses
Effective Date:	July 1, 2011
For More Information, Contact	Office of the Provost
Contact Information:	(860) 486-4037
Official Website:	http://guide.uconn.edu/

As of July 1, 2011, the Faculty & Staff Resource Guide is the Official Faculty and Staff Handbook of the University of Connecticut.

Please consult the Guide for any of your academic, employee, or university needs. Please contact guide@uconn.edu to suggest adding, altering, or archiving material found in the Guide.

Consulting for Faculty and Members of the Faculty Bargaining Unit, Policy on

Posted on May 17, 2011May 13, 2024 by Fearney, Kimberly

Title:	Consulting for Faculty and Members of the Faculty Bargaining Unit, Policy on
Policy Owner:	Office of the Provost
Applies to:	Faculty and members of the faculty bargaining units; Management-exempt personnel with faculty appointments
Campus Applicability:	All Campuses
Effective Date:	June 29, 2022
For More Information, Contact:	Faculty Consulting Office
Contact Information:	Storrs and Regional Campuses: Sarah Croucher, sarah.croucher@uconn.edu UConn Health: Carla Rash, rash@uchc.edu
Official Website:	http://consulting.uconn.edu/

1. BACKGROUND

The University recognizes the benefits derived from faculty members participating in consulting activities with outside entities. Such activities are vital for professional service, provide intellectual enrichment of faculty members and students, may foster economic development, and enhance the reputation of the University. Participation in such activities is a norm for faculty at all highly ranked U.S. public research universities. All activities where outside compensation is received that are related to the expertise of a faculty member fall within the purview of this policy, as are any activities with faculty affiliated companies.

2. PURPOSE

This policy provides a framework for consulting work with external entities to ensure compliance with the State of Connecticut Code of Ethics (Conn. General Stat §1-84(r)), other applicable policies, and to ensure such work does not conflict with University employment.

3. SCOPE

This policy applies to all faculty at the University of Connecticut and the University of Connecticut Health Center, and all staff eligible to be members of the faculty bargaining units (hereafter described as “faculty members”). The policy applies to management-exempt employees only when they have a base faculty appointment, as determined by their appointment letter. Faculty members who are employed by the University below 0.5 FTE (full-time equivalent) do not need approval to engage in consulting activities. However, such faculty may voluntarily elect to request prior approval for consulting activities. Once a faculty member in this position has requested approval to consult, all subsequent consulting activities in that reporting year must also obtain such approval.

4. DEFINITIONS

Consulting: an activity (e.g., provide services, give advice or analysis) undertaken by a faculty member for compensation as a result of their expertise or prominence in their field, while not acting in their official capacity as a State employee (i.e., in their own time). Activities such as serving on grant review panels, giving talks, or reviewing academic works are classified as consulting when undertaken for compensation. Paid or unpaid work conducted for a faculty affiliated company is also considered consulting.
Compensation: any form of payment received for the consulting activity. Compensation for consulting activities includes, but is not limited to; honoraria, stipends, payments in goods or services, stocks or stock options, other interests of value, or any forms of compensation (including “luxury travel”) above necessary expenses, even if this is intended to support costs associated with undertaking the activity.
Contracting entity: the business, nonprofit organization, government body, individual, or other organization that engages and compensates the faculty member for the consulting activity.
Faculty affiliated company (FAC): A faculty affiliated company (or other legal entity) is a for-profit or not-for-profit business where a faculty member or member of their immediate family: 1) is a director, officer, owner, or limited or general partner or, 2) is a beneficiary of a trust, or holder of stock constituting five percent or more of the total outstanding stock of any class.
Time due to the University: any time necessary for successfully carrying out the workload duties assigned to a faculty member. The University’s Bylaws and policies prohibit faculty from consulting on “time due to the university.”
Normal work time: the usual time during which a faculty member is expected to perform their job duties. These times and job duties may be defined in specific appointment letters, workload policies, or other workload assignment documentation.
Reconciliation: the process of closing out each approved consulting request after the activity has taken place (or was due to take place if it does not occur) by confirming or updating information regarding the time spent consulting and the compensation received.

5. POLICY

All full-time faculty members must receive written permission from the appropriate supervisory hierarchy prior to engaging in any consulting activity. All consulting requests and reconciliations must be submitted via the University online consulting request system. Faculty must adhere to the University’s procedures associated with this policy.

Consulting approval is not required for compensation received from royalties.

The provost will submit an annual report of consulting activities for all faculty members to the Joint Audit and Compliance Committee of the Board of Trustees. The University's Office of Audit and Management Advisory Services (AMAS) shall develop and implement a plan of regularly recurring monitoring and audits to ensure the complete and accurate implementation of this policy.

The disclosure of proprietary information (i.e., intellectual property owned in part or in total by the University) is prohibited when consulting unless specific permission is granted.)

6. ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University Bylaws, General Rules of Conduct for all University Employees, and applicable collective bargaining agreements.

Faculty members who do not receive prior approval under this policy are subject to the jurisdiction of the Office of State Ethics. In addition, the faculty member may be subject to sanctions issued by the University for violating this policy, as outlined in the associated Procedures.

7. PROCEDURES

Procedures on Consulting for Faculty and Members of the Faculty Bargaining Unit are linked here.

POLICY HISTORY

*Policy Created: September 25, 2007

*Revisions: 06/29/2022, 06/29/2019, 03/25/2015, 04/24/2013, 11/12/2012, 04/13/2011, 04/20/2010

*Approved by the Board of Trustees.

Compliance Training Policy

Posted on May 17, 2011January 27, 2025 by Fearney, Kimberly

Title:	Compliance Training Policy
Policy Owner:	Office of University Compliance
Applies to:	Workforce members
Campus Applicability:	All University campuses, including UConn Health
Effective Date:	June 27, 2024
For More Information, Contact	Office of University Compliance
Contact Information:	(860) 486-2530
Official Website:	https://compliance.uconn.edu/

PURPOSE

Training is an essential part of an effective compliance and ethics program. As recipients of federal funding, the University is required to provide all Workforce Members, including graduate assistants and affiliated parties, with training on the elements of the University’s Compliance Program and the University’s expectations that all will act in accordance with all applicable University policies, and federal and state laws and regulations. Compliance training is intended to benefit the University community by helping to ensure that its members understand their responsibilities and by fostering a culture of compliance and ethical behavior.

DEFINITIONS

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

POLICY STATEMENT

Training Requirements
All University Workforce Members are required to complete compliance training. Specific training requirements may differ in content, delivery, or frequency based on a Workforce Member’s role and responsibilities at the University in conjunction with other University policies, laws, and regulations.

Additional or Specialized Training
Workforce Members may be required to participate in additional and/or specialized compliance-related training to maintain the University’s compliance with applicable University policies, and federal and state laws and regulations. Training may be provided by the Office of University Compliance or another University department or entity with compliance-related responsibilities.

Attestation
Upon completion of any required compliance training, Workforce Members may be required to attest that they completed the training, understand the content and resources provided, as well as the potential disciplinary actions or sanctions that may result from any incidents of non-compliance with University policies and applicable laws and regulations.

ENFORCEMENT

Failure to complete assigned compliance trainings by the established deadline may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and/or the University of Connecticut Student Code. Management, in consultation with the Department of Human Resources and in accordance with collective bargaining agreements, will be responsible for issuing appropriate disciplinary action for non-compliance.

POLICY HISTORY

Policy created: 08/13/2008 Approved by Executive Compliance Committee

Revisions: 06/27/2024 Approved by the Senior Policy Council and the President; 06/11/2020 Approved by University Compliance Committee and UConn Health’s Administrative Policy Committee on 06/25/2020.

Code of Conduct

Posted on May 17, 2011September 26, 2023 by Fearney, Kimberly

Title:	Code of Conduct
Policy Owner:	Office of the President
Applies to:	Faculty and Staff
Campus Applicability:	All Campuses
Effective Date:	February 22, 2011
For More Information, Contact	Office of University Compliance
Contact Information:	(860) 486-2530
Official Website:	https://compliance.uconn.edu/

This document serves to guide the daily operations of our University system including:

The Storrs campus;
Schools of Law and Social Work;
Regional campuses throughout the State;
UConn Health

Letter from the President

Ethics Statement

Introduction

Campus-Wide Standards

Education Standards

Research Principles and Standards

Public Engagement and Outreach Standards

Patient Care Standards

Business, Fiscal and Legal Standards

External Relations and University Advancement

Resources, Additional Information, and Reporting

Letter from the President

Dear Colleagues:

The University of Connecticut is committed to assuring the highest standard of integrity in all aspects of University life and in all University and University-sponsored activities. While this goal is simply stated, its attainment requires concerted effort on the part of all members of the University community, particularly faculty, administrators and staff. Federal, state and local regulations which govern our activities are increasingly complex, and as the University’s activities expand in size, scope and prominence, it is important that all of us understand relevant policies and know what is required in terms of compliance and reporting.

The University of Connecticut Board of Trustees is the body that is ultimately responsible for ensuring full compliance. At the Board’s direction, the University has established a Compliance Program to help in our efforts to adhere to all federal, state and local regulatory requirements. A key ingredient of an effective Compliance Program is the establishment of a Code of Conduct. This Code of Conduct was developed with input from faculty, administrators and staff.

This Code serves to guide the conduct of University activities in support of the University’s mission and is designed to serve three key purposes:

To set the basic standards of workplace behavior that the University expects of all faculty, administrators and staff.
To state publicly the University’s long-term commitment to the highest standards of integrity in education, research, health care, public engagement and service.
To assure that faculty, administrators and staff understand their shared responsibility for keeping the University in full compliance with all applicable laws, regulations and policies.

Please read the Code carefully, and take all steps necessary to apply its standards. The Office of University compliance is responsible for monitoring compliance and serving as a resource for questions and guidance on the Code, and on the University policies and procedures that spell out compliance requirements in greater detail.

A key element in assuring University-wide compliance is a system for reporting potential violations. In an institution this large and active, there may be areas of confusion; regrettably, there may also be instances in which individual behavior does not meet appropriate ethical expectations. Any University employee who observes a possible violation of law, regulation, policy or approved procedure has an obligation to report it. While a key element is reporting inappropriate activity, I want to emphasize that the most important element of any compliance or ethics program is working cooperatively to assure a positive climate of openness and integrity. Great universities function as true communities in which faculty, administrators, staff and students collaborate to achieve common goals. That holds true for instruction, research, public engagement, service and, at the most fundamental level, ethical compliance.

I want to thank you for understanding and adhering to these standards, and for your commitment to the highest level of ethical conduct in fulfillment of our institutional responsibilities.

Sincerely,

Radenka Maric

The University of Connecticut Ethics Statement

The standards contained in this Code of Conduct reflect the University of Connecticut’s core values, as they have been articulated over time by generations of faculty, staff, administrators, students and the State of Connecticut. These values are essential and enduring tenets of our organization. A statement of these values, while reiterating concepts already well understood, is helpful in outlining the context in which our Code will operate. Please be advised that violation of the standards in this Code of Conduct may result in appropriate disciplinary measures up to and including dismissal.

Knowledge: Members of the University community value truth, the pursuit of truth, intellectual curiosity and academic freedom. Our faculty and students seek to create new knowledge and are committed to sharing ideas, research findings and the products of intellectual and creative pursuits with the broader community

Honesty: Members of the University community are truthful and sincere in their words and actions and do not intentionally mislead others or provide inaccurate information.

Integrity: Institutional and individual behaviors at the University reflect fundamental moral and ethical values. Our actions are beyond reproach and avoid both the fact and the appearance of impropriety.

Respect: The University honors and respects individuality and demonstrates tolerance for the personal beliefs and cultural differences of all individuals. As members of an academic community, we seek to foster a spirit of civility and collegiality through open and honest communication. We strive to protect the health, safety and well-being of all persons. We protect the private and confidential information that is provided by our patients and research participants, faculty, administrators, staff, students, volunteers and others. We value an environment that is free from harassment, intimidation, bullying, incivility, disrespect and violence.

Professionalism: The University and its members expect that the professional standards and requirements that are applicable to the academic, research, clinical, engagement, administrative and other professions comprising our community will be followed. We are responsible and accountable for our actions and are expected to make reasonable efforts to comply with all applicable federal, state and local government laws and regulations. As individuals and as an institution, we also strive to follow ethical business practices and to act as good stewards of the resources made available to us.

Introduction to the University of Connecticut Code of Conduct

In all its endeavors, the University of Connecticut is dedicated to excellence that is demonstrated through national and international recognition. As Connecticut’s public research, land-grant and sea-grant university, through freedom of academic inquiry and expression, we create and disseminate knowledge by means of scholarly and creative achievements, graduate and professional education, and public engagement and service. Through our focus on teaching and learning, the University helps every student grow intellectually and become a contributing member of the state, national and world communities. Through teaching, research, engagement and service we embrace diversity and cultivate leadership, integrity and engage citizenship in our students, faculty, staff and alumni. As our state’s flagship public land and sea grant institution, we promote the health and well being of Connecticut’s citizens through enhancing the social, economic, cultural and natural environments of the state and beyond.

If you are faced with an ethical issue, you should consult this Code of Conduct as well as current University policies and procedures. You are responsible and accountable for addressing your ethical dilemmas. Consultation with your supervisor, other appropriate colleagues, or the Office of University Compliance is appropriate and valued.

The Code of Conduct includes “Questions to Ask Yourself” after each set of Standards. These questions are intended to be thought provoking and assist employees by providing examples of matters that each of us may face during our employment with the University. For guidance regarding individual situations that relate to any of these or other questions, please feel free to contact the Office of University Compliance.

Campus-Wide Standards

The University of Connecticut values all members of its community and recognizes that each person contributes to the overall success of the institution. The University further recognizes that it is through the efforts of its faculty, administrators and staff that it achieves national and international prominence and delivers a world class education to its students. The culture of the University is one of respect, civility, trust, cooperation and collaboration among all its members. We believe all members of the University community are entitled to an environment that ensures collegiality and mutual respect.

Conduct of Faculty, Administrators and Staff

Members of the University community shall perform their duties in a fair and ethical manner in accordance with established policies, procedures and regulations.
Members of the University community shall carry out their duties with professionalism. The University supports the efforts of its faculty, administrators and staff to achieve and maintain professional standards.
The University provides equal opportunity and access to its employment, programs, benefits and services.
Supervisors have a particular responsibility to support the Code of Conduct and to demonstrate compliance within their units.
Relationships of an inappropriate personal nature between supervisors and those they supervise are prohibited.

Civility

The University values an environment that promotes a spirit of civility and collegiality, while fostering open and constructive intellectual debate.
All members of the University community have a responsibility to treat each other with consideration and respect. Managers and supervisors have an elevated responsibility to demonstrate these behaviors and support their expression in the workplace.
Engaging in behaviors that harass, intimidate, bully, threaten or harm another member of the University community does not support a respectful and civil work environment.

Non-Discrimination

The University encourages and respects diversity within the university community and does not allow discrimination on the basis of age, race, national origin, religion, disability, sex, sexual orientation or any other characteristic protected by law in any activity or operation of the institution.

Harassment

The University affirms its dedication to foster a community that condemns all forms of discrimination or acts of intolerance including sexual harassment, intimidation and retaliation.

Confidentiality

Confidentiality of faculty, staff, patient and student records is respected and maintained in accordance with University policies and procedures, federal laws and state regulations. We use such records for legitimate purposes only and in accordance with proper authorization.

Computer/Telecommunications Use

The University’s computer and telecommunication networks are University resources that are provided to employees, students and volunteers to allow them to carry out the functions of the institution. Those who use the computer and telecommunication networks are responsible for the appropriate use of these resources. We understand, support and abide by the policies concerning the ethical and responsible use of computers and electronic information at the University of Connecticut.

Regulatory Compliance

The University of Connecticut Office of University Compliance strives to ensure that we meet the highest possible standards where relevant federal, state and local regulations, laws and guidelines are concerned. This office supports ethical conduct by all faculty, administrators and staff and requires ongoing monitoring of policies, procedures and practices. Education is a key component of this program.

Health and Safety

We are responsible for complying with all workplace safety and health regulations and will report unsafe conditions, equipment or practices to appropriate University officials, as required by law.

Conflict of Interest

We, as employees of the State of Connecticut, adhere to the guidelines set forth in the Connecticut Code of Ethics for Public Officials, as well as the University’s Guide to the State Code of Ethics.
We will not engage in outside activities which will create an actual conflict of interest and will strive to avoid the appearance of a conflict. If faced with a potential conflict of interest, members of the university community shall disclose the nature of the conflict to the appropriate parties.
We do not accept gifts, including food and beverage, from vendors, lobbyists or any other person or entity that is doing business with or seeking to do business with the University unless permitted under the Connecticut Code of Ethics for Public Officials.
We do not accept secondary employment that will impair our independence of judgment as to our official duties or which will require us to disclose confidential information.
We will not use our state positions for personal financial gain beyond our official compensation, or for the financial benefit of our family members or domestic partners.
We will not use state resources for personal use or for use unrelated to our University responsibilities.

Questions to Ask Yourself

Have I treated others as they wish to be treated?

Do I make discriminatory and harassing statements?

Have I used my position to intimidate or isolate others?

As a faculty member or staff member, should I accept a gift from a student?

Do I frequently use my university telephone for personal phone calls?

Do I use my contacts at the University to help my outside business?

Do my outside professional activities create an appearance of a conflict of interest?

Do I maintain appropriate professional relationships with students, colleagues, patients, clients and customers?

Have I used my position to gain employment for a family member?

Even if I have access to certain records, do I have the authority to view them and/or distribute them to others?

Do I know what to do if I think that a University record have been accessed inappropriately by someone inside or outside the University?

Do I take shortcuts that create a safety hazard?

Education Standards

The University of Connecticut recognizes education as one of its primary missions and strives to maintain a professional environment conducive to the development of its students. To that end, the University believes that the purposes of an educational institution are best served by attracting and developing scholars of proven professional and personal competence and integrity and by assuring those teachers and scholars freedom to expand human knowledge and understanding.

We educate students from a wide range of backgrounds and respect differences in each individual’s heritage and goals.
We respect the individual choices that students make for career paths.
We respect each student as a valuable individual regardless of age, race, color, nationality, ethnicity, ancestry, marital status, gender, disability, religion, sexual orientation or personal beliefs.
We acknowledge and support students’ rights to question faculty members, the administration and staff in good faith.
We comply with all applicable statutes and regulations.

Student conduct is governed by the applicable codes of conduct and professional standards of conduct adopted by their schools. While this Code applies primarily to faculty, administrators and staff, its underlying principles are, however, common to codes and regulations governing students.

Athletics

The Division of Athletics operates a broad-based program of intercollegiate athletics and recreational and intramural opportunities that reflect the ethical philosophy of the University, the interest of the student body and the desires of the University’s internal and external constituencies.

We offer student-athletes the opportunity to excel in academic achievement and athletic accomplishments.
We foster among our students a sense of citizenship, leadership and social responsibility and encourage adherence to the highest standards of integrity and ethics.
We promote principles of good sportsmanship, honesty and fiscal responsibility in compliance with University, state, National Collegiate Athletic Association (NCAA) and conference regulations.
We promote and support the University’s comprehensive commitment to diversity and equity, providing equitable opportunity for all students and staff, including women and members of minority groups.

Questions to Ask Yourself

Do I foster an environment that is conducive to learning?

Am I providing each student an equal opportunity to learn?

Do I react negatively when students challenge or critique my interpretation of source material?

Do I protect the privacy of each student’s academic record and personal information?

Are my grading practices fair and understood by all of my students?

Do I regularly update my teaching materials?

Am I a role model for my students regarding professional values?

Do I acknowledge and support providing student athletes equitable and appropriate opportunities to excel in academic achievement?

Research Principles and Standards

The University of Connecticut is committed to the highest standards of professional conduct and integrity in research. These standards include honesty, trustworthiness, objectivity, accountability, openness, respect and fairness when dealing with other people, a sense of responsibility towards others and loyalty to the ethical principles espoused by our institution.

The University expects these standards to be maintained by all academic, research and relevant support staff, students and their supervisors and other individuals conducting research or involved in the peer review process within or on behalf of the University. Prompt reporting to the appropriate institutional administrative committees of violations of human subjects’ protection, laboratory safety, or humane treatment of animals is expected.

We understand that academic freedom is essential to creating an atmosphere in which scholarship flourishes. Promotion of intellectual freedom is consistent with assuring a climate of integrity and the University has the right and the obligation to inquire into all instances of alleged or apparent misconduct in scholarly activities.

Scholarly Integrity

We properly collect, record and maintain research data.
We take responsibility for all publications and presentations of which we are author or co-author.
We appropriately acknowledge, in publications and presentations, those who have contributed to our research.
We grant access to our research data to co-investigators involved in generating the data.
We grant reasonable access to our research equipment and resources to other University investigators involved in research.
We, the University and its faculty, administrators and staff, do not interfere with the research conducted by students or faculty.
We do not tolerate plagiarism, falsification, or fabrication of research data, or other scientific misconduct.

Human Research

We abide by all federal and state laws and regulations, in addition to the University’s policies and procedures, when performing studies involving human subjects.
We respect human research participants and are committed to their safety.
We protect human subjects by securing institutional review and approval for any research.
We adhere to approved protocols and obtain prospective institutional approval of any changes in those protocols.
We engage all human subjects, or their appropriate representatives, before initiating a research protocol, in a meaningful informed consent process including explanations of possible risks and benefits.
We allow potential or current participants to withdraw from a study at any time without prejudice.
We notify human subjects in a timely fashion of any serious adverse events associated with a human subjects study.
We conduct appropriate education and training before initiating a human subjects study.

Animal Research

We abide by all federal and state laws and regulations, in addition to the University’s policies and procedures, regarding the care, transport, maintenance and use of animals.
We are committed to the humane treatment of animals in research.
We protect research animals by securing appropriate institutional review and approval for any research.
We adhere to approved protocols and obtain prospective institutional approval of any changes in those protocols.
We conduct appropriate education and training before initiating animal research.

Laboratory Safety

We abide by all federal and state laws and regulations, in addition to the University’s policies and procedures, concerning laboratory safety.
We seek prior approval of appropriate University committees when research involves hazardous chemical substances, bio-hazardous materials or radioactive materials.

We properly document, store, handle, transport and dispose of radioactive, bio-hazardous and hazardous chemical materials, pharmaceuticals and investigative drugs.
We participate in appropriate education and training before initiating studies involving such materials.
We comply with all workplace safety and health regulations and will report unsafe conditions, equipment or practices to our supervisors or other appropriate University officials.
We attend required instructional and training sessions when dictated by funding or oversight agencies.

Research Support

We use research funds only for their designated purposes.
We accurately account for time and effort related to research funding.
We disclose financial conflicts of interest to University administrators and, as appropriate, manage such conflicts in accordance with existing policies and procedures.
We properly acknowledge sponsorship of research in our publications and presentations.

We disclose inventions produced from our research to the University so that consideration is given to the protection of intellectual property.

Questions to Ask Yourself

Do I work safely in the lab?

Have I received training and approval to use research materials?

Have I collected data and documented my research accurately?

Did I face a conflict of interest today? Does it bias my research?

Do I protect the safety and well-being of my human or animal subjects?

Did I obtain proper consent from my human subjects?

Do I respect the privacy of research participants? Do I appropriately protect the confidentiality of their research data?

Public Engagement and Outreach Standards

The primary purpose of public engagement is to serve external constituents in a manner that leads to enhanced teaching and research. Public engagement efforts impact on the reputation of the University. Engaged scholarship, as a component of public engagement, results from public engagement and outreach. It focuses on those activities that promote advanced understanding and creative works in a mutually beneficial manner. Public engagement, which includes outreach and public service, consists of all activities where the University offers its resources, both human and physical, to external constituencies in such a manner where there is a partnership or that engaged scholarship results. These efforts are on behalf of the public good and not for private gain. The term University resource refers to those activities and entities that the University makes available to its various constituencies which may involve a cost to access.

As a land and sea grant university, the University of Connecticut is committed to our mission that includes public engagement as measured by the impact of teaching and research on the world outside of the insitution. In the spirit of true partnership, we seek to expand our interactions with groups beyond our campuses in areas of mutual concern and enhance their access to the resources available at the University. In addition to collaborations in the arts and humanities, we encourage constructive partnerships in new areas of interdisciplinary excellence, such as Health and Human Behavior, the Environment, and Human Rights. Through broadened access and reciprocal interaction, we realize synergistic outcomes that further strengthen the University and benefit the people of Connecticut as well as those beyond the state borders.

We believe the reputation of the University is tied to its responsiveness to the needs of the citizens and communities of the State.
We reach out to and engage communities in reciprocal partnerships.
We are respectful of our community members, demonstrate cultural competence in their interactions, and comply with University policies while engaged in and with communities, just as we would on campus.
We strive for responsible engaged scholarship and community-based programs to the benefit of communities by involving our partners in the planning, execution, and dissemination of the knowledge gained by such programs.
We translate and disseminate research results to real world applications to address problems.
We recognize and respect the knowledge and behaviors of our partners as we work in a collaborative environment.
We effectively communicate these standards and values with the organization.
We actively engage students in community experiences as part of our service learning priority.

Practical Considerations for Public Engagement and Outreach Principles and Standards

Have I ensured that the public engagement effort is consistent with the University’s mission and vision?

How do I solicit input regarding community needs when designing, planning, and conducting my engaged scholarship or community-based project?

How can I work with community members as equal and collaborative partners in all phases of the project, from planning to dissemination of findings, and avoid the perception of using the group for my gain?

How do I handle the findings of my work to ensure confidentiality when appropriate?

Am I culturally sensitive to the diverse needs of community members and partners, starting with the selection and training of my University team members?

How can I prioritize considerations of diversity when designing, planning, and conducting my community-based research or program, identify any barriers to participation, and work to ameliorate or eliminate such barriers?

How will my actions reflect how the University is viewed in the community?

How do I manage, use and share resources of the University in a manner that is respectful to partners?

How do I teach and engage my students in the work of the community as they apply classroom learning to real world situations?

Patient Care Standards

Clinicians associated with the UConn Health, Storrs and regional campuses and other University health care facilities provide compassionate primary and specialty health care in an academic environment. We focus on delivering quality patient care and fostering continuous improvement through scientific knowledge that is shared with patients, colleagues and the public.

We, each faculty and staff member involved in patient-related activities, are expected to understand and support the applicable Patient’s Bill of Rights and Responsibilities.
We strive to deliver health care that is based on contemporary scientific knowledge and technology.
We provide educational resources and opportunity for consultations with other health care programs to assist our patients in the planning of their treatment.
We strive to consider the physical, emotional and spiritual needs of our patients in making our treatment recommendations.
We do not extend or receive payments or benefits in exchange for referrals. Our health care and referrals are based on the well-being of and best treatment for our patients.
Patients have a right to ask members of their health care team about the role of students and residents in their care and to receive complete and accurate information.We explain to our patients the importance of the educational mission at the University as it relates to their treatment.
We provide our patients with information necessary to make informed health care decisions. This includes reviewing medical findings with each patient, as well as discussing alternative treatment options and the associated risks and benefits.
We prepare clear, honest and accurate patient medical documentation in a timely manner. We maintain the confidentiality of this information in accordance with existing University policies and procedures, federal laws and state regulations, including but not limited to the Health Information Portability and Accountability Act (HIPAA).
We provide clinical facilities and laboratories to support quality care for our patients. We adhere to appropriate policies and procedures to ensure that we retain certification in all aspects of program function as required by institutional, state and federal regulatory agencies.

Questions to Ask Yourself

Do I demonstrate respect and compassion for my patients and their families?

Was the care that I provided today in the best interest of my patients?

Did I answer my patients’ questions to the best of my ability or assist them in obtaining the information they requested?

Do I offer all of the needed resources and services to my patients or assist them in making a referral to obtain those services?

Do I respect the privacy of my patients and protect the confidentiality of their health information?

Did I document my patient care thoroughly and accurately today?

Business, Fiscal and Legal Standards

The University of Connecticut adheres to established business standards in its conduct as an institution of higher education and as a health care provider. We comply with all applicable federal, state and local government laws and regulations and strive to follow ethical business practice standards. We endeavor to conduct all University business with honesty, integrity, accuracy and fairness.

Contracts

We strive to make all purchasing decisions based on the best interests of and value to the University. The University follows fair business practices in its contracting.
We recognize the value of obtaining competitive bids when appropriate, maintaining independence, ascertaining the financial and legal status of vendors and obtaining clear written agreements for services or goods to be purchased.
We comply with all state guidelines regarding procurement activities. We comply with all laws relating to pricing, competition and business arrangements.

Proprietary information

In the course of doing business, the University creates and receives information that could directly affect the success of its business ventures or those of its current or prospective business partners. If used inappropriately, this information could unduly benefit individuals who have access to such information. The University depends on the ethical business practices and personal integrity of its employees to protect this information from premature or improper use and disclosure.

Physical property and intellectual property, including data

The University’s physical property includes property that is owned by the University but entrusted to individuals or organizational units within the University. Examples include office and departmental equipment and supplies, vehicles, facilities, cash, reports and records, including clinical and billing records in department offices, computer software, electronic files and data, patents, trademarks and service marks.

We utilize such resources properly and protect property against loss, theft, misuse and waste.
Research materials, inventions or devices developed through the use of University resources are the property of the University. Rights to such property may be transferred to other parties (such as commercial sponsors) only with express written authorization. Materials subject to copyright are generally not the property of the University.
Research data are considered the property of the principal investigator or the joint property of collaborating individuals when research data are generated by a principal investigator working in collaboration with one or more faculty colleagues. Research data generated by postdoctoral fellows, graduate students, research trainees or others who have had significant intellectual input, shall be considered the joint property of the collaborating individuals.

The use of any form of intellectual property covered by copyright and license agreements and used for face-to-face, distance teaching purposes or a combination of the two, will comply with copyright law and the terms of the license agreement under which it was obtained. Examples include books, journal articles, newspapers, images, audio, and video in physical or electronic form owned or borrowed by the University or the instructor.

Financial Records and Funding Sources

We understand that the federal and state governments constitute major funding sources for the University in student financial aid, research and other areas. As such, we acknowledge responsibility for the stewardship of such funds, understanding and complying with federal and state laws and regulations.

We maintain accurate and timely financial records in accordance with the University’s policies and Generally Accepted Accounting Principles. We use appropriate internal financial controls to safeguard assets and to ensure compliance with all internal and external accounting rules and regulations. We cooperate fully with internal and external auditors and regulatory agencies during examinations of all books and records and do not alter or destroy any documents in anticipation of such reviews.
We, as employees of the University, accurately account for our time and properly document when seeking reimbursement for work-related expenses.
We charge and bill for patient care services in accordance with third party regulations and applicable state and federal laws. We bill for medically appropriate services that are clearly and accurately documented in the medical record. We submit claims for services in a timely manner. We maintain accurate patient accounts and promptly correct billing errors.
We acknowledge that clinical care providers, coding personnel and billing staff have a collective responsibility to understand the third party regulations and federal and state laws governing the services they are providing.

Questions to Ask Yourself

Did I document my work clearly, honestly and accurately?

When I sign a document do I understand what I am signing?

Do I understand when the competitive bidding process must be used?

Have I signed a contract without obtaining proper authorization?

Am I wasteful of university supplies?

Was I honest with my coding of patient visits today?

Do I share my computer password with others?

External Relations and University Advancement

Government relations and political activity

We depend, as a public institution, upon the support and trust of federal and state officials.

We will not make representations on behalf of the University without official authorization.
We do not engage in partisan political activities while on state time nor will we use University resources for the purposes of influencing a political election.
We adhere to federal and state laws which provide guidance for the political activities of the University employees.

Public access to University information

We facilitate accurate, ethical and timely news coverage of significant programs and the achievements of faculty, administrators, staff, students and alumni.
We comply with all federal and state laws and regulations as well as all University polices regarding the release of information about activities of the University, or its employees, students, volunteers, patients or research subjects, carefully balancing privacy rights with the public’s interest.

University Advancement

We recognize that the process of raising charitable funds requires ethical and sensitive interactions with prospective and current donors. Although we may release general information about alumni or other supporters, we respect an individual donor’s intent and honor all requests for anonymity.

We recognize that the primary responsibility for development of prospective donors lies with the University of Connecticut Foundation. The Foundation staff works in cooperation with offices and departments across the University but which is organizationally independent of the University itself.

Media Relations

We acknowledge that University Communications is the University’s primary and official liaisons to the news media – international, national, regional, state and local – and that this department is responsible for initiating, developing and maintaining effective, productive and beneficial relations with the news media in communicating University news and in responding to media requests.

We respect the individual freedom of faculty, staff and administrators to express their personal opinions on University actions and policies, while also recognizing that University Communications is responsible for coordinating official University comment on all matters regarding the institution.
We understand that the University encourages its faculty, staff and administrators to serve as members of community panels, boards, civic organizations, professional associations and other similar voluntary associations. An employee assuming such a role is not acting as a spokesperson of the University.

Graphic Standards

We recognize that University Communications is responsible for establishing and maintaining the University’s graphic standards and that specific standards apply to the use of the University’s logos and seals.
We understand that the University has legal rights regarding the use of its name, logos and seals and protected trademarks.

Questions to Ask Yourself

Have I referred media requests to University Communications?

Should I talk “off the record” to a reporter?

When is it appropriate to talk to the media about my research or to comment on the research of others?

Should I speak on behalf of the University to government officials regarding University mattersCan I be identified as a University employee in my political or charitable activities?

Do I maintain clear boundaries between my professional role and my personal activities that are unrelated to the University?

Resources, Additional Information and Reporting

The University has established the Office of University Compliance and Office of Audit & Management Advisory Services to oversee its internal audit and compliance programs and to ensure compliance with applicable laws, regulations, policies and procedures.

Obtaining Additional Information, Reporting Compliance Concerns and Non-retaliation Policy

For additional information please refer to the appropriate website or contact the office at the phone numbers or email addresses noted below. If you wish to report suspected violations of laws, regulations, rules, policies, procedures, ethics or any other information you feel uncomfortable reporting to your supervisor or faculty administrator you may also contact the Office of University Compliance directly using the phone numbers or email addresses listed below.

Storrs and Regional Campuses:

Website: https://compliance.uconn.edu/
Phone: (860) 486-2530
Fax: (860) 486-4527

UConn Health:

Website: https://compliance.uconn.edu/
Phone: (860) 679-1969

If you wish to report a concern or a suspected violation anonymously you may contact the University’s REPORTLINE using the contact information below. The REPORTLINE is operated by a private (non-University) company. No effort is made to identify the person reporting and no trace of the call is performed. Information received is given to the Compliance Officer for appropriate action. This service is available 24 hours a day, 7 days a week and is staffed by independent specialists trained to obtain complete and accurate information in a confidential manner. If you wish, you may obtain information about the Compliance Office response to your call by following up with the REPORTLINE at a later date. To contact the REPORTLINE:

Storrs and Regional Campuses Phone: 1-888-685-2637	UConn Health Phone: 1-888-685-2637
Web reporting address: https://www.compliance-helpline.com/uconncares.jsp

Other Reporting Options

State Auditors of Public Accounts

The Whistle Blower Act, Section 4-61dd of the Connecticut General Statutes, authorizes the Auditors of Public Accounts to receive information concerning matters involving corruption, unethical practices, violation of State laws or regulations, mismanagement, gross waste of funds, abuse of authority or danger to the public safety occurring in any State department or agency. Upon receiving such information the Auditors are required to review such matter and report their findings and any recommendations to the Attorney General.The Auditors shall not, after receipt of any information from a person under the provisions of this section, disclose the identity of such person without his/her consent unless the Auditors determine that such disclosure is unavoidable during the course of the review. You can file a complaint with the Auditors of Public Accounts by calling (860) 566-1435 or toll free at (800) 797-1702. Website: https://www.cga.ct.gov/apa/

Federal False Claims Act (31 U.S.C. § 3729-3733)

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

Non-Retaliation

University policy prohibits retaliation if you report in good faith a compliance concern to any supervisor, faculty, administrator, the Compliance Office, the REPORTLINE or any appropriate agency outside of the University. If you feel that you have been subject to retaliation, you should contact the Compliance Office immediately. The Compliance Office will respond to all reports in a timely manner in order to resolve any non-compliance and to educate regarding compliance concerns.

Policy Created*: April 11, 2006

Policy Revisions*: 2/22/2011

*Approved by the Board of Trustees.

By-Laws of the University of Connecticut

Posted on May 17, 2011August 13, 2024 by Fearney, Kimberly

Title:	By-Laws of the University of Connecticut
Policy Owner:	Board of Trustees
Applies to:	Faculty, Staff, Students
Campus Applicability:	All Campuses
Approval Date	June 26, 2024
Effective Date:	June 26, 2024
For More Information, Contact	Office of the President
Contact Information:	(860) 486-2337
Official Website:	http://president.uconn.edu/

PREAMBLE

The University of Connecticut is the state’s premier public university with a reputation for excellence in all of its missions: teaching, research, and service, including clinical care and outreach. It has highly-qualified and successful students, excellent undergraduate, graduate, and professional programs, and a strong research portfolio. As a research-intensive university, it prizes excellence not only in teaching and learning, but also in scholarly endeavor, scientific research, and artistic production. As a land and sea grant institution, it is committed to active engagement with the larger community. The University continuously aims to become a more inclusive institution that explicitly promotes respect and understanding, broadens participation among under-represented groups, advances cultural competence, celebrates intellectual openness and multiculturalism, and welcomes varied perspectives, experiences, and backgrounds. In its goal to be recognized as one of the nation’s top public research universities, the University of Connecticut’s policies, processes, and standards of performance in all of its missions should be comparable to those among which it aspires to be ranked. The University of Connecticut By-Laws and those of its constituent units should be interpreted and applied in this light and should also be regularly assessed to ensure that they are commensurate with those of the nation’s top public research universities.

The By-Laws of the University are available for download. Or, view the By-Laws in the document below.

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DEFINITIONS

PURPOSE

POLICY STATEMENT

RELATED UNIVERSITY POLICIES

POLICY HISTORY

PURPOSE

APPLIES TO

POLICY STATEMENT

ENFORCEMENT

RESPONSIBILITIES

PROCEDURES/FORMS

POLICY HISTORY

PURPOSE

DEFINITIONS

POLICY STATEMENT

ENFORCEMENT

POLICY HISTORY

Table of Contents

Letter from the President

The University of Connecticut Ethics Statement

Campus-Wide Standards

Education Standards

Research Principles and Standards

Public Engagement and Outreach Standards

Patient Care Standards

Business, Fiscal and Legal Standards

External Relations and University Advancement

Resources, Additional Information and Reporting