Academic and Student Life

Endowed Chairs and Professorships, Policy on

Posted on May 26, 2011February 17, 2026 by

Title:	Endowed Chairs and Professorships, Policy on
Policy Owner:	Board of Trustees
Applies to:	All UConn Campuses
Campus Applicability:	All Campuses
Effective Date:	April 28, 2023
For More Information, Contact	Board of Trustees Office
Contact Information:	(860) 486-2333
Official Website:	http://boardoftrustees.uconn.edu/

BACKGROUND

The University of Connecticut seeks endowment support for chairs and professorships in the several academic departments, independent scholarly centers, schools, and colleges to support distinguished teaching, research, and community service.

PURPOSE

To clarify the areas of responsibility for establishing, approving, reviewing, and filling Endowed Chairs and Professorships

POLICY STATEMENT

Endowed chairs and professorships are created by the Trustees upon recommendation by the President and in consideration of the President’s determination that sufficient endowment funds have been provided through an outright gift or a written pledge to provide a significant share of the chair holder’s salary, research or teaching program support, and supplementary support.

On recommendation by the Provost and Executive Vice President for Academic Affairs or Executive Vice President for Health Affairs, the President will present to the Board a proposal for establishment of an endowed chair or endowed professorship. The President’s recommendation to the Trustees will address the chair’s or the professor’s purpose in light of the University’s academic mission, source of funding, and such other matters as may be relevant to the creation of the chair or professorship.

Once an endowed chair or professorship has been created, the position will be filled in accordance with University policy, and the Provost and Executive Vice President for Academic Affairs or the Executive Vice President for Health Affairs will recommend a candidate for appointment to the Board of Trustees.

Appointments will be for a fixed term, with the possibility of renewal. The term associated with an endowed chair or endowed professorship will be determined at the discretion of the dean up to a maximum of 5 years. The holder of an endowed chair or endowed professorship is ordinarily considered for a renewal appointment at the end of their appointment.

In the event that an endowed chair becomes vacant, the dean, in consultation with the Provost may at appoint an individual to the position for no more than a 1-year temporary appointment. The Provost will consider exceptions to the ordinary procedures on a case-by-case basis.

Retired or emeritus faculty are ineligible for appointment or reappointment to an endowed chair or professorships. Faculty who retire while serving in an endowed position vacate the position upon retirement.

The President shall periodically forward to the Board of Trustees reports on the contributions made by holders of endowed chairs or professorships.

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.

PROCEDURES/FORMS

The Endowed Professorship Appointment and Renewal Procedures are available from the Academic Affairs Governance Documents Library.

REFERENCES

List of Endowed Chairs and Professorship

POLICY HISTORY

Policy Created: 9/26/2001
Policy Supersedes Endowed Chairs Policy (5/11/1990; 11/7/1989; 10/15/1989)

Revised: 07/30/2025 (Editorial); 03/13/2023 (Approved by Senior Policy Council and the Board of Trustees)

Confidentiality of Library User Records

Posted on May 26, 2011March 17, 2026 by Quiles, Anida

Title:	Confidentiality of Library User Records
Policy Owner:	UConn Library
Applies to:	All Library Users
Campus Applicability:	All UConn Campuses
Approval Date:	March 4, 2026
Effective Date:	March 9, 2026
For More Information, Contact:	UConn Library
Contact Information:	(860)486-2219
Official Website:	https://www.lib.uconn.edu/

PURPOSE

To ensure the confidentiality of Library User records in compliance with professional ethics and applicable legal standards.

APPLIES TO

This policy applies to all Library Users who utilize or borrow resources from the UConn Library.

DEFINITIONS

Library Users: Any authorized user of the UConn Library, including University of Connecticut students, workforce members, community faculty, and community borrowers.

Community Borrowers: Non-UConn affiliates who are citizens of the state of Connecticut or a member of another eligible population who has registered for a community borrower card through the UConn Library’s Community Borrower Program.

POLICY STATEMENT

The UConn Library is responsible for ensuring that personally identifiable information related to individual library user’s use of library resources will be kept confidential to the extent possible under the law. Personally identifiable information is only used internally as needed for library operations and is not disclosed to third parties except with the expressed written permission of the Library User or as otherwise required by law. This policy aligns with the principles of the American Library Association Code of Ethics, which endorses the confidentiality of Library User records.

ENFORCEMENT

Violations of this policy and any related 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, and the University of Connecticut Student Code.

PROCEDURES/FORMS

Library user records are kept confidential and retained in accordance with the state record retention requirements established by the Office of the Public Records Administrator of the Connecticut State Library.

If the University is served with a subpoena, warrant, or court order compelling disclosure of library user records, then such document shall be promptly referred to the University’s Office of the General Counsel.

REFERENCES

American Library Association Code of Ethics
State of Connecticut Records Retention Schedule
UConn Library Community Borrower Program
University of Connecticut Student Code
University General Rules of Conduct

POLICY HISTORY

Policy created: November 21, 2016 (Approved by University Administration)

Revisions: March 4, 2026 (Approved by the Senior Policy Council and President)

Assignment of Textbooks and Other Intellectual Property

Posted on May 26, 2011February 17, 2026 by

Title:	Assignment of Textbooks and Other Intellectual Property
Policy Owner:	Office of the Provost
Applies to:	Faculty
Campus Applicability:	All Programs at All Campuses
Effective Date:	October 29, 2010
For More Information, Contact	Office of the Provost
Contact Information:	(860) 486-4037
Official Website:	http://provost.uconn.edu/

Background and reasons for the Policy:

The Code of Ethics for Public Officials precludes the use of one’s public position for personal financial gain. This policy is intended to support compliance with the Code.

Purpose of Policy:

To provide guidance on the circumstances under which one may assign a textbook or other intellectual property authored or developed by the professor to a course s/he may teach.

Expected Institutional Outcome:

Compliance with the Code of Ethics

Applicability of Policy:

All Faculty

Policy Statement:

No public official or state employee shall use his/her public office or position or confidential information received through his holding such public office or position to obtain financial gain for himself/herself, his/her spouse, child, child’s spouse, parent, brother or sister or a business with which he/she is associated. Connecticut General Statutes Section 1-84(c) of the Code of Ethics for Public Officials.

In a course taught by a faculty member, the assignment of a required textbook s/he authored or of intellectual property s/he prepared may be interpreted as “obtaining financial gain for himself/herself” unless the faculty member receives prior approval for such use or directs any financial gain to a University of Connecticut student scholarship fund within thirty (30) days of receipt. If the professor directs any financial gain to a University of Connecticut student scholarship fund, no review is needed.

Responsibilities:

All Faculty are responsible for compliance with this policy. Deans and Department Heads should work with their faculty to ensure that the implementation guidelines (see below) are enforced.

Policy Implementation Guidelines:

Approval for use of a textbook or other intellectual property authored by the faculty member in a course taught by that individual should be obtained through a departmental or school/college review of the intellectual property in question. The review will address the appropriateness of this specific piece of intellectual property consistent with the guidelines established in Advisory Opinion No. 2001-7. A small committee of faculty members, not subordinate to the professor, will complete the review, and a determination report will be filed with the Provost’s office.

Failure to comply constitutes a violation of the State ethics code and University policy and is subject to disciplinary procedures of both.

Academic Course Work Taken by Faculty or Non-Teaching Professionals

Posted on May 24, 2011February 17, 2026 by

Title:	Academic Course Work Taken by Faculty or Non-Teaching Professionals
Policy Owner:	Office of the Provost and Human Resources
Applies to:	Faculty, Staff
Campus Applicability:	Storrs and Regional Campuses
Effective Date:	September 25, 2014
For More Information, Contact	Human Resources, Labor Relations
Contact Information:	(860) 486-5684
Official Website:	https://hr.uconn.edu/employee-relations/

Background and reasons for the Policy:

To provide guidance to faculty and non-teaching professionals on the circumstances under which they may take a course for credit during the employee’s regular work hours.

Purpose of Policy:

To support the University’s need to ensure effective delivery of instructional and other services for which faculty and non-teaching professional staff are hired and to mitigate against conflicts of commitment.

Expected Institutional Outcome:

To support uninterrupted delivery of programs, instruction and services.

Applicability of Policy:

Faculty and Non-Teaching Professionals.

Policy Statement:

No member of the faculty or non-teaching professional staff may take for credit any academic work at this institution or elsewhere during the employee’s normal work time/days, without written approval of his or her Dean or Director. The Dean or Director may consult with Human Resources Labor Relations regarding flexible schedule options.

Responsibilities:

The Provost, Deans and Department Heads and other supervisors have a responsibility to support compliance with this policy by faculty and staff in their units.

Policy History

Supersedes version of policy effective 06/23/2008

Use of the Social Security Number at the University of Connecticut, Policy on

Posted on May 24, 2011September 9, 2021 by Fearney, Kimberly

Title:	Use of the Social Security Number, Policy on
Policy Owner:	Information Technology Services / Chief Information Security Officer
Applies to:	Faculty, Staff, Students
Campus Applicability:	All campuses except UConn Health
Effective Date:	August 30, 2021
For More Information, Contact	Director of IT Security, Policy and Quality Assurance
Contact Information:	techsupport@uconn.edu or security@uconn.edu
Official Website:	https://security.uconn.edu

PURPOSE

To protect the confidentiality and privacy of students and employees of the University of Connecticut regarding the collection, use, and disclosure of Social Security numbers. Social Security numbers have been used to uniquely identify students and employees in various University systems. As systems are updated and replaced, the reliance on Social Security numbers should be used only as required.

APPLIES TO

This policy applies to all University faculty, staff, students, student employees, volunteers, and contractors who have access to or have been assigned one of the roles defined in this policy.

POLICY STATEMENT

In order to protect the Social Security number of its students, staff, faculty and affiliates, the University of Connecticut will:

Discontinue the collection of Social Security numbers, except where necessary for employment records, financial aid records, and other business and governmental transactions as required by law or to satisfy a business requirement when permitted by law.
Develop a University of Connecticut identifier to be assigned to all students, faculty, staff and other individuals associated with the University, to uniquely and permanently identify the individual. This identifier will be considered public information and be assigned and distributed to the individual upon initial association with the University. It will be used in all electronic and paper data systems to identify, track and service the individual.
Ensure that no new systems or technology purchased or developed by the University of Connecticut use the Social Security number as its primary key to the database, except where required by law. Any exemption to this policy must be approved by the Office of University Compliance.
Ensure that new systems or technologies purchased or developed by the University of Connecticut will use Social Security numbers as data elements only (not as keys to databases) when required by law or business necessity. Approval by the Council of Data Stewards is required for inclusion of the Social Security number in databases.
Ensure that all requests, either verbal or written, for which faculty, staff or students are required to provide their Social Security number contain or have appended to them a statement explaining the University’s request (i.e., the legal obligation on which the request is based, if there is one, and how the Social Security Number will be used).
Ensure that all requests, either verbal or written, for which faculty, staff or students are requested to voluntarily provide their Social Security number contain or have appended to them a statement explaining the University request and its purpose. The statement must indicate that no service or privilege will be withheld upon failure to provide the Social Security number and that the person may use the identifier provided by the University of Connecticut in place of the Social Security number.
Ensure that any request for any form or document that contains the Social Security number, where the Social Security number is not the primary reason for the request, be accompanied by a statement indicating that the Social Security number is not required and should be blanked out on the form or document prior to being provided.
Ensure that no new systems purchased or developed by the University of Connecticut display Social Security number visually, whether on computer monitors or on printed forms or other output, unless required by law.
Access to Social Security numbers in online systems must be restricted as appropriate and visible only for required or approved uses.

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 Student Code.

Questions about this policy or suspected violations may be reported to any of the following:

Office of University Compliance: https://compliance.uconn.edu (860-486-2530)

Information Technology Services Tech Support: https://techsupport.uconn.edu (860-486-4357)

Information Security Office: https://security.uconn.edu

POLICY HISTORY

Policy created: 08/2008

Revisions: August 30, 2021 [Approved by President’s Senior Team]

Outdoor Amplified and Projected Sound Policy

Posted on May 24, 2011February 17, 2026 by

Title:	Outdoor Amplified and Projected Sound Policy
Policy Owner:	Office of the Provost and Office of the Vice President for Student Life and Enrollment
Applies to:	Workforce Members, Students, Others
Campus Applicability:	Storrs and Regional Campuses
Approval Date:	August 20, 2024
Effective Date:	August 21, 2024
For More Information, Contact	Office of the Provost or Office of the Vice President for Student Life and Enrollment
Contact Information:	provost@uconn.edu or VPSLE@uconn.edu
Official Website:	https://provost.uconn.edu or https://studentlife.uconn.edu

PURPOSE

To manage and regulate the use of outdoor Amplified and Projected Sound on University Property to ensure a conducive academic environment.

APPLIES TO

Storrs and Regional campuses, including all students, Workforce Members and visitors. This policy does not apply to the School of Law.

EXCLUSIONS

This policy does not apply to the use of Amplified and Projected Sound for the following:

University Athletics and Athletic Events: All University Athletics organized/sponsored events and activities, including practices, games, and other athletic activities.

The following University Events: Events and activities sponsored by the Offices of the President, Provost, or Vice President for Student Life and Enrollment, and University-wide Admissions events (i.e., UConn Bound Day, Fall Campus Visit Days, etc.), Student Activities sponsored University-wide events (i.e., WOW, Homecoming, Family Weekend, Winter Weekend, Spring Weekend, etc.) and Student Activities sponsored Outdoor Movies, Convocation, and Commencement activities and events.

The University Marching Band and Athletic Bands: official, organized practices and performances as directed by the band director or their designee.

DEFINITIONS

Amplified and Projected Sound: This refers to any sound that is electronically amplified or projected through the use of equipment such as amplifiers, speakers, DJs, megaphones, or other sound systems. It also includes the use of acoustic instruments like trumpets, trombones, violins, air horns, drums and other similar instruments or items that can produce significant sound levels.

Scheduling Office: A space management office responsible for managing and approving requests for the use of University spaces. The Scheduling Office communicates compliance information, including space-related and activity-related rules, regulations, and requirements, covering local, state, and federal laws, as well as internal policies. This may involve coordination with other University offices, including but not limited to Environmental Health and Safety Services, Facilities Operations (i.e., Landscape and Grounds, electrical services, custodial services, Central Warehouse, etc.), Housing and Residential Life, Parking and Transportation, University Safety (i.e., the Fire Marshal’s Office and the Fire Department, the UConn Police Department, etc.), as well as external entities such as Call Before You Dig (CBYD).

University Property: Any building, space or area under the control of the University of Connecticut at the Storrs & Regional Campuses.

Venue: Any location where an event takes place.

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

1. Outdoor Amplified and Projected Sound Conditions

Amplified and Projected Sound is permitted on campus within specified times and locations to minimize disruption to academic activities, residence halls, and public spaces. The following conditions govern the use of Amplified and Projected Sound.

Subject to the Additional Conditions, Special Permissions and Restrictions below, Amplified and Projected Sound is permitted as follows:

Weekdays (Monday through Friday): Amplified and Projected Sound may be permitted between 5 p.m. and 10 p.m.
Weekends (Saturdays and Sundays): Amplified and Projected Sound may be permitted between 9 a.m. and 10 p.m. on Saturdays and Sundays.
Quiet Hours during Finals: The University observes a traditional period of quiet hours in recognition of the study period in advance of final exams and the exams themselves. This is in effect 24 hours per day each semester, beginning at 11:59 p.m. on the last day of classes through 11:59 p.m. on the last day of finals or Commencement.

2. Additional Conditions:

- Academic Classes or University Business Disruptions: Amplified and Projected Sound must not be disruptive to or interfere with academic courses or University business.
- Sound Levels: Sound levels that are disruptive to the education environment, such that they may interfere with classes or other University activity, are prohibited. For example, sound levels must not exceed 85 decibels (dB) at a distance of 50 feet from the source. Requests for sound levels exceeding this limit require additional permissions and must be submitted to the Scheduling Office. Failure to comply with requests to reduce volume that is in excess of the approved limit 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 of Conduct, including the immediate cancellation of the remainder of an ongoing event or gathering.
- Outdoor Spaces adjacent to Residence Halls:
- Sunday through Thursday: Amplified and Projected Sound is not permitted.
- Fridays: Amplified and Projected Sound is permitted from 5 p.m. to 9 p.m.
- Saturdays: Amplified and Projected Sound is permitted from 9 a.m. to 9 p.m.

3. Special Permissions

Event organizers may seek additional permissions for Amplified and Projected Sound from the designated Scheduling Office.
Permissions may be granted based on the specific location and the nature of other activities occurring at the same time.

4. Restrictions

Permission may be denied by the Scheduling Office based on the impact of Amplified and Projected Sound on nearby activities and events.

PROCEDURES

A link containing information on the Scheduling Office will be listed at https://inform.uconn.edu.

ENFORCEMENT

The Provost or designee and the Vice President for Student Life and Enrollment or designee shall review this policy annually and will recommend revisions and/or updates as may be appropriate.

Questions about this Policy may be directed to the Office of the Provost at provost@uconn.edu or the Office of the Vice President for Life and Enrollment at VPSLE@uconn.edu.

POLICY HISTORY

Policy created: 02/11/2002

Revisions: 08/20/2024 (Approved by the Senior Policy Council and President)

Records Management Policy

Posted on May 24, 2011July 16, 2019 by Fearney, Kimberly

Title:	Records Management Policy
Policy Owner:	University Archivist, Records Management
Applies to:	Faculty, Staff, Others
Campus Applicability:	All
Effective Date:	March 11, 2009
For More Information, Contact	University Archivist, Records Management
Contact Information:	(860) 486-4507
Official Website:	https://rim.uconn.edu/

Background and Purpose of the Policy

The University of Connecticut is an agency of the State of Connecticut. As a state agency, the University is, and therefore its employees are, required to conform to state regulations and statutes.

Under Section 11-8a of the Connecticut General Statutes the University has the obligation to handle, maintain, retain, dispose of and in cases destroy records in a certain manner, following specific processes and schedules.

The purpose of this policy is to provide guidance and reference for University employees regarding the retention, disposition, storage and destruction of official University records, in all formats.

Definitions

Record— Connecticut public records are defined in General Statutes Section 1-200(5) as: “any recorded data or information relating to the conduct of the public’s business–prepared, owned, used, received, or retained by a public agency, whether such data or information be handwritten, typed, tape-recorded, printed, photostatted, photographed, or recorded by any other method.” Recorded data and information that meet this definition are covered by this Records Management Policy.

Non-Record – By definition, the term “non-records” means recorded data or information that does not meet the above definition of the term “record”. The physical characteristics of non-record materials are the same as record materials. The differences between a non-record and a record are the reasons for keeping the information and how the information is used. Non-records are not covered by this Records Management policy and therefore do not need to be retained, stored, disposed of or destroyed in accordance with procedures create under this policy and state law.

The following are examples of “Non-Records”:

Extra copies kept only for convenience.
Informational copies of correspondence and other papers on which no documented administrative action is taken.
Duplicate copies of documents maintained in the same file.
Requests from the public for basic information such as manuals and forms that do not have any administrative retention requirements.
Transmittal letters that do not add information to that contained in the transmitted material.
Reproduced or published material received from other offices which requires no action and is not required for documentary purposes. The originating agency is required to maintain the record copy.
Catalogs, trade journals, and other publications or papers received which require no action and are not part of a case upon which foreseeable action will be taken.
Library or museum material collected for informational or exhibition purposes.
Stocks of publications, forms, or other printed documents which become obsolete or outdated due to revision. The originating agency should maintain a record copy.
Working papers, preliminary drafts, or other material summarized in final or other form and which have no value once action has been taken.

Record Series — A group of similar or related records that are normally used and filed as a unit and can be evaluated as a unit for determining the record retention period. All of the records that make up a record series must have the same retention periods. You cannot break up a record series into individual records and give each record a different retention period.

Records Retention Schedules — A comprehensive list of record series which indicates for each series the length of time it is to be maintained until it is reviewed for destruction or archival retention. It also indicates retention in active and inactive storage areas.

Policy Statement

All employees of the University of Connecticut are required to be aware of the fact that records management procedures exist, and to ensure that records are maintained, retained, stored, disposed of and, as appropriate, destroyed only in accordance with such procedures and the Records Retention Schedules. The University’s Records Management Procedures are available at http://records.compliance.uconn.edu/. Employees are urged to visit this website to keep up to date as changes to the procedures and/or the Records Retention Schedules can and do occur. All updates to Records Management Procedures and Records Retention Schedules are posted to the website. Employees may also contact the University Archivist at (860) 486-4507 for further information.

Providing Information in Alternative Formats, Policy on

Posted on May 24, 2011March 18, 2026 by Fearney, Kimberly

Title:	Providing Information in Alternative Formats, Policy on
Policy Owner:	Office for Inclusion and Civil Rights
Applies to:	Workforce Members, Students, Others
Campus Applicability:	All UConn Campuses
Approval Date:	August 20, 2024
Effective Date:	August 21, 2024
For More Information, Contact	Office for Inclusion and Civil Rights
Contact Information:	equity@uconn.edu (860) 486-2943
Official Website:	https://accessibility.uconn.edu/

PURPOSE

The University of Connecticut, including the School of Law, Regional Campuses, and UConn Health, is committed to ensuring effective communication to all individuals, including those with disabilities in compliance with the Americans with Disability Act and its Amendments (2008) as well as Section 504 of the Rehabilitation Act of 1973. This policy looks to address the needs of persons with disabilities who require access to University materials in alternative formats.

DEFINITIONS

University 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

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 public.
Films and videos 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 the Office for Inclusion and Civil Rights (OICR) of employee accommodation requests.
Departments and/or organizations should plan accordingly to use normal budgetary channels to provide assistive technology or alternative formats

ENFORCEMENT

PROCEDURES/FORMS

Persons requesting materials in alternative formats, captioning for video and/or live speakers, or other assistive technology should submit their request to the appropriate entity at the University for review. The designees are as follows:

Student Requests:

Students, including students enrolled at the School of Law, School of Social Work, School of Medicine, and School of Dental Medicine, should contact the Center for Students with Disabilities at their earliest convenience. Students will be assigned a Disability Services Professional to assist them with their educational access throughout their time at the University. More information on CSD and its process can be found here (https://csd.uconn.edu/).

Contact:

Center for Students with Disabilities
Wilbur Cross Building, Room 204
233 Glenbrook Rd. Unit 4174
Storrs, CT 06269-4174
Phone: 860-486-2020
Video Phone: 860-553-3243
Email: csd@uconn.edu

Workforce Requests:

Any employee, including those at UConn Health, should submit their requests to the Office for Inclusion and Civil Rights (OICR) at their earliest convenience. Employees will have the opportunity to work with an Employee Accommodations Specialist to discuss their needs and make requests through the interactive process. More information on the OICR’s process can be found: Accommodations | Accessibility

Contact an Employee Accommodations Specialist:

Office for Inclusion and Civil Rights
Storrs: Wood Hall, First Floor
UConn Health: 16 Munson Road, Third Floor
Online Contact Form

The University’s ADA Coordinator is:

Sarah Chipman
Director of Civil Rights Compliance
ADA, Title VI, and Title IX Coordinator
Storrs: Wood Hall, First Floor
UConn Health: Munson Road, Third Floor
sarah.chipman@uconn.edu
(860) 486-2943

All other requests should be made directly to the facilitator or organizer of the program in question. This information can often be found on the event’s website or other promotional materials. Event organizers should make every effort to accommodate requests as needed and should work to promote accessible design within their program. This can include producing large print programs, hiring captioning services or utilizing high contrast materials.

POLICY HISTORY

Revisions:
07/28/2015
08/20/2024 (Approved by the Senior Policy Council and President)
03/09/2026 (Editorial)

Human Subjects Research

Posted on May 24, 2011February 17, 2026 by Fearney, Kimberly

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

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)

Financial Aid Code of Conduct

Posted on May 24, 2011February 26, 2019 by Fearney, Kimberly

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/

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.
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