Academic and Student Life
Assignment of Textbooks and Other Intellectual Property
| 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
| Title: | Academic Course Work Taken by Faculty or Non-Teaching Professionals |
|---|---|
| Policy Owner: | Provost & Office of Faculty and Staff Labor Relations |
| Applies to: | Faculty, Staff |
| Campus Applicability: | Storrs and branch campuses |
| Effective Date: | September 25, 2014 |
| For More Information, Contact | Office of Faculty and Staff Labor Relations |
| Contact Information: | (860) 486-5684 |
| Official Website: | http://www.lr.uconn.edu/ |
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 the Office of Faculty and Staff 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
| 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]
Speaker’s Forum and Outdoor Amplification
| Title: | Speaker’s Forum and Outdoor Amplification |
|---|---|
| Policy Owner: | University Senate |
| Applies to: | Faculty, Staff, Others |
| Campus Applicability: | Storrs |
| Effective Date: | February 11, 2002 |
| For More Information, Contact | University Senate Office |
| Contact Information: | (860) 486-2236 |
| Official Website: | http://senate.uconn.edu/ |
Amplification on the Student Union Mall may take place between the hours of 12:00 p.m. and 1:00 p.m. on Mondays, Wednesdays, and Fridays, and between the hours of 12:30 p.m. and 1:30 p.m. Tuesdays and Thursdays during the fall and spring semesters and summer and winter sessions. Amplification on the Student Union mall may also take place when classes, including finals and reading days, are not in session. Groups or individuals wishing to amplify speech or sound on the Student Union Mall need to obtain the appropriate University approvals by using the process established by the Student Union Activities Office. Amplification is limited to 90 decibels.
People with Disabilities, Policy Statement:
| Title: | People with Disabilities, Policy Statement: |
|---|---|
| Policy Owner: | Office of Institutional Equity |
| Applies to: | Faculty, Staff, Students, Others |
| Campus Applicability: | All Campuses and Programs, except UConn Health |
| Effective Date: | November 15, 2011 |
| For More Information, Contact | Office of Institutional Equity |
| Contact Information: | (860) 486-2943 |
| Official Website: | http://www.equity.uconn.edu/ |
The University of Connecticut is committed to achieving equal educational and employment opportunity and full participation for persons with disabilities. It is the University’s policy that no qualified person be excluded from consideration for employment, participation in any University program or activity, be denied the benefits of any University program or activity, or otherwise be subjected to discrimination with regard to any University program or activity. This policy derives from the University’s commitment to nondiscrimination for all persons in employment, academic programs, and access to facilities, programs, activities, and services.
A person with a disability must be ensured the same access to programs, opportunities, and activities at the University as all others. Existing barriers, whether physical, programmatic, or attitudinal must be removed. Further, there must be ongoing vigilance to ensure that new barriers are not erected.
The University’s efforts to accommodate people with disabilities must be measured against the goal of full participation and integration. Services and programs to promote these benefits for people with disabilities shall complement and support, but not duplicate, the University’s regular services and programs.
Achieving full participation and integration of people with disabilities requires the cooperative efforts of all of the University’s departments, offices, and personnel. To this end, the University will continue to strive to achieve excellence in its services and to assure that its services are delivered equitably and efficiently to all of its members.
Anyone with questions regarding this policy is encouraged to consult the Office of Institutional Equity (OIE). The office is located in Wood Hall, Unit 4175, 241 Glenbrook Road, Storrs, Connecticut 06269-4175, telephone, 860-486-2943.
Records Management Policy
| 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
| Title: | Providing Information in Alternative Formats, Policy on |
|---|---|
| Policy Owner: | Office of Institutional Equity |
| Applies to: | Faculty, Staff, Students, Others |
| Campus Applicability: | All Campuses except UConn Health |
| Effective Date: | July 28, 2015 |
| For More Information, Contact | Office of Institutional Equity |
| Contact Information: | (860) 486-2943 |
| Official Website: | http://www.equity.uconn.edu/ |
This policy is intended to address the needs of individuals requiring access to University materials in alternate formats. The University of Connecticut, including the School of Law, School of Social Work and regional campuses, is committed to ensuring effective communication to all individuals, including people with disabilities. The University engages in an interactive process with each person making a request for accommodations and reviews requests on an individualized, case-by-case basis. In keeping with these standards, the University requires that:
- printed materials be made available in alternative formats upon request. Printed materials include, but are not limited to, departmental/program brochures, announcements of events and activities, newsletters, exams, applications, forms, and any other printed information made available to the general public;
- films and video tapes promoting departmental and program information, or related items acquired by a department or program, be closed captioned;
- departments and programs that sponsor public speakers, conferences, information sessions, or public performances provide qualified interpreters for people with hearing disabilities and printed materials in alternate formats upon request;
- departments and programs establish procedures to respond to requests in a timely fashion and promptly notify the Center for Students with Disabilities (CSD) of student accommodation requests and Office of Institutional Equity (OIE) of employee accommodation requests.
Departments and programs that have extensive telephone contact with the public should be accessible to the deaf or hearing impaired through email, texting, instant messaging and/or TDD (telephone devices for the deaf).
The University maintains a variety of assistive technology for converting printed text to audio format, enlarged print, and Braille. Please refer to the CSD website (www.csd.uconn.edu), or call CSD at 486-2020 for the list of available assistive technology.
The needs of individuals with disabilities should be taken into consideration during the design and construction of all websites. Further, printed information placed on the Internet should be in a format that is readily accessible by all individuals. Departments and programs are encouraged to put departmental information, announcements, newsletters, etc. on their websites in accessible formats. For additional information on creating an accessible website, please refer to the Universal Web Site Accessibility Policy.
The University uses the services of state agencies for qualified interpreters and contracts with independent interpreters. Assistance with obtaining an interpreter and additional information about interpreting services can be obtained by contacting the University’s Interpreter Coordinator at CSD. Contact information for CSD can be found below.
Providing alternative formats is a departmental and/or program responsibility. Normal budgetary channels should be accessed in order to fulfill requests.
For additional information or to request materials in an alternate format, please contact:
Letissa Reid
ADA Coordinator
Associate Vice President
Office of Institutional Equity (OIE)
241 Glenbrook Rd., Unit 4175
Storrs, CT 06269
Tel: (860) 486-2943
letissa.reid@uconn.edu
Website: www.equity.uconn.edu
(employee requests)
Christine Wenzel
Interim Executive Director
Center for Students with Disabilities (CSD)
233 Glenbrook Rd. Unit 4174
Storrs, CT 06269
Tel:(860) 486-2020
christine.wenzel@uconn.edu
website: www.csd.uconn.edu
(student requests)
Interim Executive Director
Center for Students with Disabilities (CSD)
233 Glenbrook Rd. Unit 4174
Storrs, CT 06269
Tel:(860) 486-2020
christine.wenzel@uconn.edu
website: www.csd.uconn.edu
(student requests)
* UConn Health has separate policies for its employees, students and community members. Those policies can be found on the UConn Health policies webpage.
Mission And Purposes of The University of Connecticut
| Title: | Mission And Purposes of The University of Connecticut |
|---|---|
| Policy Owner: | Board of Trustees |
| Applies to: | Faculty, Staff, Students |
| Campus Applicability: | |
| Effective Date: | June 20, 2006 |
| For More Information, Contact | Board of Trustees Office |
| Contact Information: | (860) 486-2337 |
| Official Website: | http://boardoftrustees.uconn.edu/ |
(Adopted by the Board of Trustees on April 11, 2006 and amended on June 20, 2006)
The University of Connecticut is dedicated to excellence demonstrated through national and international recognition. As Connecticut’s public research university, through freedom of academic inquiry and expression, we create and disseminate knowledge by means of scholarly and creative achievements, graduate and professional education, and outreach. Through our focus on teaching and learning, the University helps every student grow intellectually and become a contributing member of the state, national, and world communities. Through research, teaching, service, and outreach, we embrace diversity and cultivate leadership, integrity, and engaged citizenship in our students, faculty, staff, and alumni. As our state’s flagship public university, and as a land and sea grant institution, we promote the health and well-being of Connecticut’s citizens through enhancing the social, economic, cultural and natural environments of the state and beyond.
Human Subjects Research
| Title: | Human Subjects Research |
|---|---|
| Policy Owner: | Office of the Vice President for Research |
| Applies to: | Employees, Faculty, Students, Others |
| Campus Applicability: | All Campuses |
| Effective Date: | May 25, 2018 |
| For More Information, Contact | Office of the Vice President for Research |
| Contact Information: | (860) 486-3001 |
| Official Website: | http://research.uconn.edu/ |
REASON FOR POLICY
The University of Connecticut is committed to ensuring the safety, rights and welfare of all participants involved in human subjects research conducted at or by the University of Connecticut on all its campuses, including UConn Health (the “University”). This policy establishes that whenever the University engages in human research it will be guided by the ethical principles of the Belmont Report and will comply with applicable legal requirements. It is the responsibility of all components of the human research protection program to work collaboratively to ensure research with human subjects is conducted in accordance with such ethical principles and legal requirements.
APPLIES TO
All University faculty, employees, students, postdoctoral fellows, residents and other trainees, and agents who supervise or conduct human subject research. Such research includes, but is not limited to, obtaining data through intervention or interaction with individuals, using identifiable private information or identifiable biospecimens from living individuals and using human tissue to evaluate the safety or effectiveness of an investigational device.
DEFINITIONS
Human Research Protection Program (“HRPP”): The University’s comprehensive system designed to ensure that the University meets ethical principles and legal requirements for the protection of the safety, rights and welfare of human participants in research. The HRPP encompasses all University-associated individuals and units responsible for the conduct and oversight of research involving human participants.
Human Subject or Human Participant:
- A living individual about whom an investigator (whether professional or student) conducting research obtains data through intervention or interaction with the individual, or identifiable private information. [45 CFR 102(f)]
- An individual who is or becomes a participant in research, either as a recipient of the test article or as a control. Such subject may be either a healthy individual or a patient. For research that evaluates the safety or effectiveness of a device, the definition also includes a human on whose specimen an investigational device is used. Such subject may be in normal health or may have a medical condition or disease. [21 CFR 56.102(e); 21 CFR 812.3(p)]
- Any other individual meeting the legal requirements of a human subject or human participant in research.
Institutional Official (“IO”): The individual appointed by the President of the University who is legally authorized to act for and on behalf of the University in matters related to human subject research and the protection of human research participants. The IO oversees the HRPP and is responsible for ensuring that it functions effectively and that the University provides appropriate resources and support to comply with applicable legal requirements governing human subject research.
Institutional Review Board (“IRB”): A multidisciplinary group whose membership meets applicable legal requirements, which reviews, approves, and oversees all University research involving human subjects. An integral component of the HRPP, the IRB review ensures the protection of the safety, rights and welfare of human subjects and that applicable legal requirements are met.
Research:
- A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. [45 CFR 102(d)]
- A clinical investigation, meaning any experiment that involves a test article and one or more human subjects, and that either must meet the requirements for prior submission to the Food and Drug Administration (“FDA”) under section 505(i) or 520(g) of the Federal Food, Drug, and Cosmetic Act, as amended (the “Act”), or need not meet the requirements for prior submission to the FDA under these sections of the Act, but the results of which are intended to be later submitted to, or held for inspection by, the FDA as part of an application for a research or marketing permit. [21 CFR 102(c)]
- Any other activities meeting the legal requirements of research involving human subjects or human participants.
POLICY STATEMENT
The University will designate one or more IRBs for the review of research involving human participants.
The IO is delegated the authority to develop policies and procedures, and to implement a program to ensure the safety, rights and welfare of human participants in research that is legally compliant.
All human subjects research, regardless of sponsorship or funding, must be reviewed and approved by a University designated IRB before research begins unless specifically exempted from review by policy or procedure.
Designated IRBs are granted the authority to:
- Approve, require modifications to secure approval, or disapprove research involving human subjects;
- Suspend or terminate approval of research not being conducted in accordance with the IRB’s requirements or that has been associated with unexpected serious harm to human subjects;
- Take actions determined necessary to ensure legal compliance and adherence to University policy, and to mitigate issues associated with unanticipated problems or risks to human participants and others;
- Observe, or have a third party observe, the consent process or conduct of the research; and
- Conduct continuing review of research annually or at intervals appropriate to the degree of risk.
University personnel may not approve research involving human participants if it has not been approved by a University designated IRB. Research that has been approved by a designated IRB may be subject to further review and approval or disapproval.
Research Subject to the Common Rule. Human subject research that is conducted or supported by any federal department or agency that has adopted the Federal Policy for the Protection of Human Subjects, known as the Common Rule, will comply with the requirements set forth in the Health & Human Services Regulations at 45 CFR part 46 (including subparts A, B, C and D), unless the research is otherwise exempt from these requirements. Relevant HRPP and IRB policies and other applicable legal requirements of the department or agency conducting or supporting the research may also apply.
Research Subject to FDA Regulation. Clinical investigations regulated by the FDA under section 505(i) or 520(g) of the Act (21 U. S.C. § 355(i)) will comply with the applicable FDA regulations. These regulations include, but are not limited to: Protection of Human Subjects (21 CFR part 50), Institutional Review Boards (21 CFR part 56), Investigational New Drug Application (21 CFR part 312), Applications for FDA Approval to Market a New Drug (21 CFR part 314) and Investigational Device Exemptions (21 CFR part 812). Relevant HRPP and IRB policies may also apply.
Other Research. For all other research involving human participants, the University applies the policies of the HRPP, which are guided in their development and implementation by the Health & Human Services Regulations at 45 CFR part 46 (including four subparts) and the International Conference on Harmonization Good Clinical Practice Consolidated Guidelines.
ENFORCEMENT
Violations of this policy may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, the University of Connecticut Student Code, and other applicable University Policies.
ADDITIONAL RESOURCES
45 CFR part 46 (including subparts A, B, C and D)
21 CFR part 50
21 CFR part 56
21 CFR part 312
21 CFR part 314
21 CFR part 812
ICH GCP (E6)
Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research (1979)
POLICY HISTORY
Revisions: 2/16/2011; 5/25/2018 (Approved by President’s Cabinet)