Author: Fearney, Kimberly

Faculty Compensation, Policy on

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

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

PURPOSE

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

APPLIES TO 

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

POLICY STATEMENT

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

I.         Regular Compensation

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

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

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

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

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

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

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

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

        II.       Summer Salary

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

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

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

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

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

        III.     Overload Pay

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

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

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

        IV.    Consulting

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

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

        V.      Prizes and Awards

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

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

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

        ENFORCEMENT

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

        PROCEDURES/FORMS

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

        Guide to the State Code of Ethics

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

        [ii] Defined in Faculty Compensation Procedures/Pay Model

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

        [iv] Defined in Faculty Compensation Procedures

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

        POLICY HISTORY

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

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

         

        Employment and Contracting for Service of Relatives, Policy on

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

        PURPOSE

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

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

        POLICY

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

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

        PROCEDURE

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

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

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

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

        POLICY HISTORY

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

        Electronic Privacy and Disclaimer Notice

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

         

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

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

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

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

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

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

        Definitions:

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

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

        Statement of Policy:

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

        Terms and Conditions Governing Official University of Connecticut websites:

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

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

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

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

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

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

        a.       Automatic Information Collected

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

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

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

        b.      Personal Information Voluntarily Provided by the Individual

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

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

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

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

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

        Responsibilities:

        The Chief Information Officer has overall responsibility for this policy.

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

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

        Electronic (E-mail) Communication Policy

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

        DEFINITIONS

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

        PURPOSE

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

        POLICY STATEMENT

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

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

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

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

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

        RELATED UNIVERSITY POLICIES

        Code of Conduct

        Electronic Privacy and Disclaimer Notice

        FERPA Policy

        General Rules of Conduct

        Records Management Policy

        University Guide to the State Code of Ethics

        POLICY HISTORY

        Policy adopted: November 14, 2003

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

        Health and Safety Policy

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

        PURPOSE

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

        APPLIES TO

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

        POLICY STATEMENT

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

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

        ENFORCEMENT

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

        RESPONSIBILITIES

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

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

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

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

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

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

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

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

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

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

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

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

        COMMITTEES

        Environmental Health and Safety Committee

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

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

        Focused Subject Matter Safety Committees

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

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

        PROCEDURES/FORMS

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

        ENVIRONMENTAL HEALTH and SAFETY POLICIES, PROGRAMS AND PROCEDURES

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

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

        POLICY HISTORY

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

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

        Posted on by
        Title: By-Laws, Rules, and Regulations of the University Senate
        Policy Owner: University Senate
        Applies to: Faculty, Staff, Students, Others
        Campus Applicability: All University Campuses, except UConn Health
        Effective Date: June 9, 2025
        For More Information, Contact University Senate Office
        Contact Information: (860) 486-2236
        Official Website: http://www.senate.uconn.edu/

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

        Driving and Motor Vehicle Policies

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

        Purpose

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

        The full Fleet Services Manual is available via PDF.

        Faculty and Staff Handbook

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

         

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

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

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

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

        UConn Health: Carla Rash, rash@uchc.edu
        Official Website: http://consulting.uconn.edu/

         

        1. BACKGROUND

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

        2. PURPOSE

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

        3. SCOPE

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

        4. DEFINITIONS

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

        5. POLICY

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

        Consulting approval is not required for compensation received from royalties.

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

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

        6. ENFORCEMENT

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

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

        7. PROCEDURES 

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

        POLICY HISTORY

        *Policy Created: September 25, 2007

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

        *Approved by the Board of Trustees.

        Compliance Training Policy

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

        PURPOSE

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

        DEFINITIONS

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

        POLICY STATEMENT

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

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

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

        ENFORCEMENT

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

        POLICY HISTORY

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

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