Month: May 2011

Providing Information in Alternative Formats, Policy on

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Title: Providing Information in Alternative Formats, Policy on
Policy Owner: Office of Institutional Equity
Applies to: Faculty, Staff, Students, Others
Campus Applicability:  All Campuses except UConn Health
Effective Date: July 28, 2015
For More Information, Contact Office of Institutional Equity
Contact Information: (860) 486-2943
Official Website: http://www.equity.uconn.edu/

This policy is intended to address the needs of individuals requiring access to University materials in alternate formats.  The University of Connecticut, including the School of Law, School of Social Work and regional campuses, is committed to ensuring effective communication to all individuals, including people with disabilities. The University engages in an interactive process with each person making a request for accommodations and reviews requests on an individualized, case-by-case basis.  In keeping with these standards, the University requires that:

  • printed materials be made available in alternative formats upon request. Printed materials include, but are not limited to, departmental/program brochures, announcements of events and activities, newsletters, exams, applications, forms, and any other printed information made available to the general public;
  • films and video tapes promoting departmental and program information, or related items acquired by a department or program, be closed captioned;
  • departments and programs that sponsor public speakers, conferences, information sessions, or public performances provide qualified interpreters for people with hearing disabilities and printed materials in alternate formats upon request;
  • departments and programs establish procedures to respond to requests in a timely fashion and promptly notify the Center for Students with Disabilities (CSD) of student accommodation requests and Office of Institutional Equity (OIE) of employee accommodation requests.

Departments and programs that have extensive telephone contact with the public should be accessible to the deaf or hearing impaired through email, texting, instant messaging and/or TDD (telephone devices for the deaf).

The University maintains a variety of assistive technology for converting printed text to audio format, enlarged print, and Braille. Please refer to the CSD website (www.csd.uconn.edu), or call CSD at 486-2020 for the list of available assistive technology.

The needs of individuals with disabilities should be taken into consideration during the design and construction of all websites.  Further, printed information placed on the Internet should be in a format that is readily accessible by all individuals. Departments and programs are encouraged to put departmental information, announcements, newsletters, etc. on their websites in accessible formats.  For additional information on creating an accessible website, please refer to the Universal Web Site Accessibility Policy.

The University uses the services of state agencies for qualified interpreters and contracts with independent interpreters. Assistance with obtaining an interpreter and additional information about interpreting services can be obtained by contacting the University’s Interpreter Coordinator at CSD.  Contact information for CSD can be found below.

Providing alternative formats is a departmental and/or program responsibility. Normal budgetary channels should be accessed in order to fulfill requests.

For additional information or to request materials in an alternate format, please contact:

Letissa Reid
ADA Coordinator
Associate Vice President
Office of Institutional Equity (OIE)
241 Glenbrook Rd., Unit 4175
Storrs, CT 06269
Tel: (860) 486-2943
letissa.reid@uconn.edu
Website: www.equity.uconn.edu
(employee requests)

 

Christine Wenzel
Interim Executive Director
Center for Students with Disabilities (CSD)
233 Glenbrook Rd. Unit 4174
Storrs, CT 06269
Tel:(860) 486-2020
christine.wenzel@uconn.edu
website: www.csd.uconn.edu
(student requests)

 

* UConn Health has separate policies for its employees, students and community members. Those policies can be found on the UConn Health policies webpage.

Payment of Meals Policy

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Title: Payment of Meals Policy
Policy Owner: Accounts Payable, Purchasing, Environmental Health and Safety
Applies to: Faculty, Staff
Campus Applicability:  Storrs and Regional Campuses
Effective Date:  July 15, 2015
For More Information, Contact Accounts Payable
Contact Information: (860) 486-4137
Official Website: www.accountspayable.uconn.edu

From time to time, it is necessary to the interests of the University to host or provide meals to guests such as job candidates, visiting scholars or donors. Likewise, a meal may be an essential or important part of an event, such   as a conference or workshop, which is conducted by the University. In cases where the University provides a meal (or reimburses the expense of the meal, as the case may be) to individual(s) who are not travelling on behalf of the University (herein defined broadly as “business meals”), the University will pay or reimburse the business meal under the requirements and procedures under this section.

As a public agency, the University has an obligation to students, taxpayers and benefactors to use all of its funds as prudently as possible. Therefore, all employees and individuals with authority to request, control or approve University funds, including but not limited to travelers, shall use their best judgment in applying those funds towards business meals only when justified with a business purpose and a clearly identifiable benefit to the University. The act of requesting, using or approving a business meal constitutes an individual’s official determination that, to the best of such individual’s knowledge, the expense was actually incurred, is justified by a business purpose, and serves the best interests of the University.

The University’s policy of paying or reimbursing for business meals is subject to the following general rules:

  1. University employees are generally responsible for paying for their own meals when they are not traveling.
  2. University funds may not be used for meals at social functions, such as parties or summer outings, attended entirely or primarily by University employees and/or their personal guests.
  3. University funds may not be used to purchase alcoholic beverages.
  4. In most cases, business meals may not be charged to sponsored awards (the responsible OVPR, SPS Grant Manager may provide more information or grant exceptions where appropriate).

Meals between faculty/staff and students, while allowable when there is a business justification, should be infrequent.  In addition, units may purchase group business meals when a group meal is essential to the effectiveness and efficiency of the meeting. This is especially the case when multiple units are called together for a substantial meeting, or when stopping the meeting to allow employees to leave for a normal meal would be disruptive and inconvenient for the University.

For the avoidance of doubt, this policy shall extend fully to business meals that are paid for by interdepartmental transactions, such as meals purchased through Dining Services (including Chuck and Augie’s). Business Meals require the documented approval of the Department Head, Director or Dean. The approval request should include the purpose of the meeting or event; a formal written agenda including session times; a list of attendees with their associated departments/entities; and the expected cost of the meal per person.  Set-up and delivery costs associated with the group meal shall not be included in the meal limit calculation.

For all business meals, including group meals, organizers should limit attendance to essential guests only. Without proper justification on the Business Meal Detail Form, the University will not reimburse expenses for spouses or partners or non-essential guests. Under no circumstances may the cost of the meal for each guest (including taxes and tip) exceed three times the appropriate GSA Per Diem meal amount for the location.

For the purposes of this policy, business meals shall not include refreshments, such as snacks or nonalcoholic beverages, which are made available to guests outside of the context of a meal. Such refreshments may be provided in appropriate business contexts, provided that the cost of providing refreshments, when combined with any meals served, is less than the applicable GSA meal rate (inclusive of incidental costs, such as set up, delivery, and service charges). For example, refreshments provided before a morning meeting at the Storrs campus cannot exceed the allowed breakfast per diem expense (currently $7 for FY15). Refreshment transactions must also be justified by a business purpose and require the attendee list, total costs, and per person breakdown before the costs may be paid or reimbursed.

Note that the provisions in this section shall not be construed as to supersede the provisions of any collective bargaining agreement.

Procedure

Departments with ability to control or request Foundation funds are encouraged to consider use of these funds as the primary reimbursement method to cover the expense of business meals.

If Foundation funds are not used, employees may request reimbursement for business meals by attaching the Business Meal Detail Form available at http://travel.uconn.edu/ with the original itemized receipt and proof of payment to the Reimbursement Request. Note that the form requires written approval for the meal from the Department Head, Director, or Dean. The Business Meal Detail Form must also include the date, location, business purpose, names of attendees and their affiliation to the University and the actual cost of the meal per person.

For authorized business meals at the Nathan Hale Inn and Conference Center, a Meal Charge Ticket allows departments to charge the meal to a KFS account.

Finally, for reference, the GSA Per Diem tables are available at: http://www.gsa.gov/portal/content/104877.

Units that want to contract for catering services for a group meal that will cost more than $2,000 should refer to UConn’s Procurement Services for guidance.

Refer to the Travel and Entertainment Policy – section 5e and complete the Business Meal Form.

Contracting and Paying for Catering Services For Events Costing Less than $2,000

University departments are authorized to contract for catering services without first obtaining a purchase order number, provided the total expenditure is less than $2,000. Departments making catering arrangements under this authority are encouraged to obtain a written and signed quotation from the selected vendor. If there is any question about whether the catering services might exceed $2,000, the department should obtain a purchase order number or PCard (PCard cannot be used for dine in options at off campus facilities) before the services are provided.

There are three alternatives for payments for the catering service:

  1. The vendor will invoice the University for the service. When the invoice is received by the department, a Disbursement Voucher should be prepared made payable to the vendor. The  Disbursement Voucher must contain:
    1. The purpose of the meeting
    2. Date of service
    3. Names of persons who attended and their relationship to the University
    4. The itemized invoice from the vendor attached to the Disbursement Voucher
  2. The preferred method of providing the required information is the Business Meal Detail Form. The host will pay the bill and obtain a receipt. A Disbursement Voucher made payable to the host should be prepared. The  Disbursement Voucher must contain:
    1. The purpose of the meeting
    2. Date of service
    3. Names of persons who attended and their relationship to the University
    4. The itemized invoice from the vendor attached to the Disbursement Voucher

The preferred method of providing the required information is the Business Meal Detail Form.

  1. The University PCard can be used for “take-out services” for student activities & official business meetings only for events less then $4,999.99

When reallocating in KFS attach the following:

    1. The purpose of the meeting/formal agenda
    2. Business Meal Pre-Approval Form signed by Department head
    3. Names of persons who attended and their relationship to the University
    4. The itemized receipt from the vendor

The PCard cannot be used to pay invoices for past events.

For Events Costing at Least $2,000 but Under $10,000

Catering services that cost at least $2,000 but fall below the bid threshold of $10,000 must be submitted to Procurement Services on a purchase requisition in advance of the required services. The requisition is required to contain the following before a purchase order will be issued;

    1. The purpose of the meeting/formal agenda
    2. Business Meal Pre-Approval Form signed by Department head
    3. Names of persons who attended and their relationship to the University
    4. A quotation from the vendor

The vendor will send the invoice with the Purchase Order # on the invoice to the Accounts Payable Office for payment.

The University PCard can be used for “take-out services” for student activities & official business meetings only for events less than $4,999.99.

For Events Costing $10,000 to $49,999.99

State procurement statutes require the University to competitively bid catering services when the cost is $10,000 or more.

If the department elects to obtain bids on their own, three (3) important points must be followed:

  1. The upfront research/legwork done by the department should eliminate vendors with an undesirable location. A minimum of three (3) written quotes should be solicited from three (3) vendors or three (3) facilities where you would be willing to hold your event.
  2. Your department’s requirements must be issued in writing to the vendors or facilities you are soliciting. It is essential that all vendors are provided the same information/requirements to bid and it is verifiable. Include a response date so you can negate any offers received after that date.
  3. Submit a purchase requisition along with all your supporting documentation as in the under $10,000 procedure. If no other information is needed by Procurement, a purchase order will be issued to the successful vendor.

Selecting the option most appropriate to accomplishing your objective will expedite the ordering process and reduce the amount of time spent filling out and filing forms.

If requested by department Procurement Services provides competitive bidding for catering as a service to those departments who wish to use it. To take advantage of this service, contact Procurement Services. The bids will be reviewed with the department prior to the award. A purchase order will be issued to the successful bidder.

For Events Costing over $50,000

For catering services and conferences that exceed a cumulative annual cost of $50,000 requires a public competitive bid process. The bid process must be handled in their entirety by the Procurement Services. Contact Procurement Services to discuss the competitive bid process. A purchase order will be issued to the successful bidder

The vendor will send the invoice with the Purchase Order # to the Accounts Payable Office for payment.

Public Health Code Requirements for Temporary Food Service Events & Catering

The Department of Environmental Health & Safety (EH&S) offers information and support to ensure that all food service establishments, including Temporary Food Service Events (TFSE), are held to the same consistent standard, and are operated in a safe and sanitary condition, helping to reduce the risk of a foodborne illness outbreak and ensure a safe food supply on campus.

All food served to the public (regardless if there is a fee or not) must be approved by EH&S.  Each organization serving food to the public must complete and submit a TFSE application to our office at least ten (10) business days prior to the event.  Good communication is essential for a smooth application process, enabling us to issue a timely approval and help ensure a safe and successful event.  TFSE applications submitted with less than ten (10) business days notice may not be approved and are subject to a late fee.  Upon approval, a permit will be issued which must be placed in an area visible to the public.

Please note that fully utilizing University Dining Services Catering exempts all organizations from having to submit a TFSE application; however, if they are only used for part of the event (for example, just purchasing food from University Catering), EH&S must receive a TFSE application.  All off-campus caterers must have a valid food license or permit from their local health department and a copy must accompany the TFSE application, if it is not already on file in our office.

The TFSE application can be submitted on-line at: http://ehsapps.uconn.edu/food/request.php

Safe food handling educational information and application fee information is available at: https://ehs.uconn.edu/food-safety-and-public-health/ or from the EH&S office located at 3102 Horsebarn Hill Road, Unit 4097, Storrs, Connecticut 06269-4097.  EH&S office hours are Monday-Friday from 8:00 AM to 5:00 PM.

The TFSE policy is intended to apply to “public” events, including:

  • Events (regardless of whether a fee is charged or not) that are widely advertised and where most anyone can attend, e.g., community picnics, large fundraisers
  • Open houses
  • Any public function that is, essentially, an open event, whereby the public has an expectation that the food is safe and complies with established public health codes.

The TFSE policy does not apply to “private” events, including:

  • Internal departmental functions, e.g., pot luck lunches/dinners, holiday gatherings, birthday parties, staff meetings
  • Student organization meetings, e.g., pizzas and refreshments ordered during discussions of club business by club members only
  • Typically small, private, gatherings by invitation only, e.g., a dean’s dinner party for potential donors

Please Note: Prior to the event, each applicant must attend a 30-minute Food Safety training session annually at the Environmental Health & Safety (EH&S) Office or at the Student Union Reservations Office, Room 315 (860) 486-3422. For more information on food safety or the TFSE application process, please contact the EH&S office at (860) 486-3613.

Insurance Requirements for Catering Contracts

All caterers serving at official University events are required to present evidence that they have both liability insurance and workers’ compensation insurance. A Certificate of Insurance is required from the [Vendor/Contractor]. Such certificate shall be issued by an insurance company with a general policyholder’s rating of not less than A- and a financial rating of not less than Class VIII as rated in the most current available A.M. Best Insurance Reports, and licensed to do business in the State of Connecticut.  The Certificate of Insurance shall name the University of Connecticut, State of Connecticut, its boards, commissions, agents and employees as an Additional Insured, and must be submitted to the Department owning the event/service prior to the catered event. Minimum acceptable coverage will include the following:

General Liability, including Contractual Liability, Products Liability, Broad Form Property Damage: $1,000,000 per occurrence/$2,000,000 aggregate

Automobile Liability: Any Auto $1,000,000 combined single limit

Excess Liability: Umbrella $1,000,000

Since the Procurement Services may not write purchase orders for catering services valued at less than $2,000, it will be the ordering department’s responsibility to ensure that the necessary documents are submitted and meet the above criteria. Any questions regarding insurance requirements for catering services should be directed to the Procurement Services at extension 6-4992.

Some small, specialty caterers may be unable to meet the one million dollar requirement. In such cases a waiver may be granted on a case-by-case basis, provided the total contract cost is less than $2,000. In such instances, the department wishing to utilize the catering services should submit to Procurement Services a letter explaining the unique capabilities of the selected firm, and a copy of the insurance certificate describing the amount of coverage available. Requests to hire uninsured caterers will not be approved. Any actions of uninsured caterers, which result in personal injury and/or property damage, i.e., food poisoning, scalding, spillage, or vehicular mishaps could potentially create a liability for the University.  It is the intent of this insurance requirement to mitigate the University’s liability exposure.

Exemption of Connecticut Sales Tax

Departments may be asked by the vendor to provide a Cert 112 or Cert 123 prior to the event in order to provide an exempt status for Connecticut Sales Tax. A Cert 112 provides exemption for a single event whereas a Cert 123 provides a blanket exemption for a year. If this is not filed prior to the event, the department is obligated to pay the Connecticut sales tax. Contact Procurement Services to inquire about particular vendors.

 

Non-Retaliation Policy

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Title: Non-Retaliation Policy
Policy Owner: Office of the President
Applies to: Faculty, Staff, Students, Contractors and Affiliated Persons
Campus Applicability: All Campuses, including UConn Health
Effective Date: October 22, 2012
For More Information, Contact Office of University Compliance
Contact Information: (860) 486-2530
Official Website: http://president.uconn.edu/

PURPOSE

To define how the University provides for the protection of any person or group within its community from retaliation who, in good faith, participates in investigations or reports alleged violations of policies, laws, rules or regulations applicable to the University of Connecticut.

POLICY STATEMENT

The University encourages individuals to bring forward information and/or complaints about violations of state or federal law, University policy, rules, or regulations.  Retaliation against any individual who, in good faith, reports and/or participates in the investigation of alleged violations, or who assists others in making such a report, is strictly forbidden.  This policy does not protect an individual who knowingly files a report or provides information as part of an investigation that is false or is filed in bad faith. The University will take appropriate action, up to and including dismissal, against any employee, student, or affiliated person who violates this policy.

DEFINITIONS

Retaliation: Any adverse action taken, or threatened against an individual because they have, in good faith, reported an allegation concerning the violation of state or federal law, University policy, rule, or regulation, or because they have participated in any manner with an investigation of such an allegation, or in an effort to deter an individual from doing so.

Examples of actions that may constitute retaliation include, but are not limited to:

  • unsubstantiated adverse performance evaluations or disciplinary action;
  • adverse decisions relating to the terms or conditions of employment or education;
  • interference with or denial of promotion or advancement opportunities (whether employment-related or academic);
  • reduction in a student’s grade;
  • interference with or denial of participation in University programs or activities;
  • unfounded negative job references or interfering with one’s job search;
  • denial or removal of co-authorship on a publication;
  • repeated intimidation or humiliation, derogatory or insulting remarks, or social isolation which may occur indirectly or directly from co-workers and/or a supervisor;
  • physical threats and/or destruction of personal or state property

Any action taken or threatened that would dissuade a reasonable person from engaging in activities protected by this policy may also be considered retaliatory.

Good Faith Report: A report made with an honest and reasonable belief that a university-related violation of law or policy may have occurred.

Bad Faith Report: A report made that is knowingly false and/or made with malicious intent.

Protected Activities: Good faith reporting, whether internally or externally, or inquiring about suspected wrongful or unlawful activity; assisting others in making such a report; and/or participating in an investigation or proceeding related to suspected wrongful or unlawful activity.

 

REPORTING PROCESS

If an individual believes that they have been subjected to retaliation, they should either contact the office to which the initial complaint was filed or any of the following University offices:

Storrs & Regional Campuses UConn Health
The Office of University Compliance
28 Professional Park, Unit 5084
Storrs, CT  06269-5084
Telephone: (860) 486-2530
Reportline: 1-888-685-2637Website: https://compliance.uconn.edu		 The Office of University Compliance
Administrative Services Building
263 Farmington Avenue
Farmington, CT 06030-5329
Telephone: (860) 679-1969
Reportline: 1-888-685-2637Website: https://compliance.uconn.edu
The Office of Institutional Equity (OIE)
241 Glenbrook Road
Wood Hall, Unit 4175
Storrs, CT  06269-4175
Telephone: (860) 486-2943
Email: equity@uconn.edu
OIE’s Discrimination Complaint Procedures:
https://equity.uconn.edu/policiesprocedures/		 The Office of Institutional Equity (OIE)
Munson Building
263 Farmington Avenue
Farmington, CT 06030-5130
Telephone: (860) 679-3563
Fax: (860) 679-3805
Email: equity@uconn.edu
OIE’s Discrimination Complaint Procedures: https://equity.uconn.edu/policiesprocedures/
Office of Faculty & Staff Labor Relations
9 Walters Avenue, Unit 5075
Storrs, CT  06269-5075
Telephone: (860) 486-5684
Website: https://lr.uconn.edu/ 		 Employee/Labor Relations
Munson Building
263 Farmington Avenue
Farmington, CT 06030 – 4035
Telephone: 860-679-8067
Website: https://health.uconn.edu/human-resources/services/employee-labor-relations/
University of Connecticut Police Department
126 North Eagleville Road, Unit 3070
Storrs, CT  06269-3070
Telephone: (860) 486-4800
Website: https://publicsafety.uconn.edu/police/		 University of Connecticut Police Department
263 Farmington Avenue
Farmington, CT 06030 – 3925
Telephone:  860-486-4800
Website: https://publicsafety.uconn.edu/police

Any individual who is covered by a collective bargaining contract are also encouraged to contact their union:

Union Contact Information
The American Association of University Professors (AAUP), University of Connecticut Chapter Telephone: (860) 487-0450

Website: http://www.uconnaaup.org/contact/
The University of Connecticut Professional Employees Association (UCPEA) Telephone: (860) 487-0850

Website: http://ucpea.ct.aft.org/
Maintenance and Service Unit,
Connecticut Employees Union Independent (CEUI)		 Telephone: (860) 344-0311

Website: http://ceui.org/
Administrative Clerical Unit – American Federation of State, County and Municipal Employees (AFSCME) Telephone: (860) 224-4000

Website: https://www.afscme.org/
Connecticut Police and Fire Union Telephone: (860) 953-2626

Website: https://cpfu.org/
Social and Human Services Unit – American Federation of State, County and Municipal Employees (AFSCME) Telephone: (860) 224-4000

Website: https://www.afscme.org/
Administrative and Residual Employees Union (A&R) Telephone: (860) 953-1316
Website: http://andr.ct.aft.org/
New England Health Care Employees Union – District 1199 Telephone: (860) 549-1199

Website: http://www.seiu1199ne.org/
University Health Professionals (UHP) Telephone: (860) 676-8444

Website: http://uhp3837.ct.aft.org/

Nothing in this policy shall be deemed to diminish the rights, privileges or remedies of a University (State) employee under other federal or state law or under any collective bargaining agreement or employment contract.

 

ADDITIONAL RESOURCES

In addition to the resources above, the following offices may be helpful to University employees and students who believe they are experiencing retaliation.

Employee Assistant Program

Website: https://hr.uconn.edu/employee-assistance-program/

University Ombuds

Website: https://ombuds.uconn.edu/

Office of the Dean of Students

Website: https://dos.uconn.edu/

UConn Cultural Centers

Website: https://diversity.uconn.edu/cultural-centers/

Office for Diversity and Inclusion:

Website: https://diversity.uconn.edu/

 

POLICY HISTORY

Policy created:  09/22/2009

Revisions:

10/22/2012 (Non-substantive revisions)

05/03/2021 (Approved by President’s Cabinet)

Mission And Purposes of The University of Connecticut

Posted on by
Title: Mission And Purposes of The University of Connecticut
Policy Owner: Board of Trustees
Applies to: Faculty, Staff, Students
Campus Applicability:
Effective Date: June 20, 2006
For More Information, Contact Board of Trustees Office
Contact Information: (860) 486-2337
Official Website: http://boardoftrustees.uconn.edu/

 

(Adopted by the Board of Trustees on April 11, 2006 and amended on June 20, 2006)

The University of Connecticut is dedicated to excellence demonstrated through national and international recognition.  As Connecticut’s public research 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 outreach. 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 research, teaching, service, and outreach, we embrace diversity and cultivate leadership, integrity, and engaged citizenship in our students, faculty, staff, and alumni.  As our state’s flagship public university, and as a 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.

Technology Incubation Program Operation Policy

Posted on by
Title: Technology Incubation Program Operation Policy
Policy Owner: Office of the Vice President for Research
Applies to: Faculty, Staff and Students
Campus Applicability:  All campuses including UConn Health
Effective Date: December 7, 2016
For More Information, Contact Director of Innovation Programs
Contact Information: (860) 486-3010
Official Website: http://research.uconn.edu/technology-commercialization/resources-for-business/incubator-services/

REASON FOR POLICY

The University’s Technology Incubation Program (TIP) is designed to facilitate the commercialization of technology and promote new economic development opportunities in Connecticut by supporting technology transfer, collaboration and providing students and faculty with a supportive entrepreneurial environment. The purpose of this policy is to establish a framework for the operation of TIP.

APPLIES TO

University’s Technology Incubation Program at all campuses including UConn Health.

POLICY REQUIREMENTS

Standards and Procedures

The Office of the Vice President for Research (OVPR) is responsible for managing TIP. OVPR will develop standards and procedures for the program and be responsible for coordinating, administrating and monitoring TIP in order to promote the effective implementation of this policy. OVPR’s standards and procedures must be consistent with University policies and include the following:

  1. A requirement that companies interested in participating in TIP must apply for admittance.
  2. An application process that includes a review of information provided by the company that is sufficient to determine (1) that a relationship with the company is beneficial to the goals of the University and (2) that the company has a plan in place for the company’s operation at the University with milestones to assure the accomplishment of mutually beneficial goals.
  3. A requirement that a written assessment supporting a company’s admission be completed and maintained by OVPR. Each written assessment should include a copy of the company’s application and any other relevant materials provided by the company during the application process.
  4. A requirement that admitted companies must maintain a physical presence on a University campus and enter into a written agreement to use University space. Written agreements may be in the form of a lease or license.
  5. Establishment of standard rates for the leasing and licensing of TIP space. Premium rates may be charged to selected companies with the capacity to pay market rents. Discounted rates may be charged to UConn student run companies.
  6. Provisions requiring each admitted company to comply with all University, State and Federal rules and regulations including those for Environmental Health and Safety (EHS) and, where appropriate, rules related to animal care, use of human subjects, embryonic stem cells, other biomaterials, etc.
  7. Documentation of insurance and other appropriate terms to assure that the University and the State are adequately protected from possible liability.
  8. A restriction limiting a company’s participation in TIP to no more than five years unless scientific and commercial progress is demonstrated by a company along with a need to continue participating in TIP due to special circumstances.
  9. Regular updates on each company’s progress and annual reviews against its milestones.

TIP Services 

OVPR will offer admitted companies access to wet and dry laboratory and office space. OVPR may also offer the following support services:

  1. Business counseling;
  2. Marketing support;
  3. Access to mentors and advisors;
  4. Access to the University IT system, select library and electronic collections;
  5. Participation in events of interest to early stage firms;
  6. Environmental Health and Safety training;
  7. Access to specialized facilities, equipment and instrumentation by special arrangement;
  8. Parking privileges on the same terms as University employees.

TIP Space

Only areas designated as TIP space by the University may be utilized for TIP purposes.   TIP space is currently made available at the Farmington, Storrs and Avery Point campuses.

Tenants will be responsible for space renovation costs and must receive appropriate University approvals prior to any work commencing.

TIP Leasing Process

Companies that want to occupy University space must execute a lease or a license agreement. TIP leases require Board of Trustees approval except as specified below.

A TIP lease can be approved without Board of Trustee approval if it meets the following criteria:

  1. The space being leased has been designated for TIP use;
  1. The rent per square foot and the other financial terms of the lease are consistent with the standard terms for TIP as approved by the Vice President for Research;
  1. The lease is for a term (initial term plus all extensions provide for in the lease that may be exercised by either party) that does not exceed five years;
  1. The lease is terminable at the option of the University and the required termination notice period is sixty (60) days or less;
  1. The lease has been reviewed by University counsel and approved by the Office of the Attorney General and State Treasurer.

Leases meeting the above criteria may be approved and signed by the President without coming to the Board. The President may re-delegate this authority to a Vice President.

ENFORCEMENT

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

POLICY HISTORY

Policy created: March 13, 2008*

Policy Revised: December 7, 2016*

* Approved by the Board of Trustees.

Supersedes:      

Board of Trustee’s Policy on Incubation Company Leasing (January 22, 2008).

Board of Trustee’s June 28, 2012 Resolution titled: Delegation of Authority to Approve Leases for the Technology Incubation Program (TIP) in Specified Circumstance.

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