Academic and Student Life

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: 

  1. 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. 
  2. 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. 
  3. 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. 
  4. 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. 
  5. 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).  
  6. 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. 
  7. 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. 
  8. 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. 
  9. 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 Officehttps://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

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

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

    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)

    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: Workforce Members, Students, Others
    Campus Applicability: All Campuses, including UConn Health
    Approval Date: August 20, 2024
    Effective Date: August 21, 2024
    For More Information, Contact Office of Institutional Equity
    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 of Institutional Equity (OIE) of employee accommodation requests.
    • Departments and/or organizations should plan accordingly to use normal budgetary channels to provide assistive technology or alternative formats

    ENFORCEMENT

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

    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: 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 Human Resources at their earliest convenience. Employees will have the opportunity to work with the ADA Case Manager to discuss their needs and make requests through the interactive process.  More information on HR’s process can be found:

    UConn ADA Compliance & Accommodations
    UConn Health ADA Compliance & Accommodations

    Contact UConn:

    ADA Accommodations Case Manager

    Allyn Larabee Brown Building

    9 Walters Ave Depot Campus – Unit 5075

    Storrs, CT 06269-5075

    Phone: (860) 486-2598

    Email: tiffanie.roback@uconn.edu

    Contact UConn Health:

    ADA Case Manager

    16 Munson Road, 5th Floor

    Farmington, CT 06032

    Phone: (860) 679-2426

    Email:  moreland@uchc.edu

     

    The University’s Interim ADA Coordinator is:

    Sarah Chipman
    Interim Associate Vice President, Interim Equal Employment Opportunity Officer, Interim ADA Coordinator, Director of Equity Response and Education, Deputy Title IX Coordinator
    Office of Institutional Equity
    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)

                                   

    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)

    Financial Aid Code of Conduct

    Title: Financial Aid Code of Conduct
    Policy Owner: Board of Trustees
    Applies to: Faculty, Staff, Others
    Campus Applicability: All Campuses
    Effective Date: January 22, 2008
    For More Information, Contact Director, Financial Aid Office
    Contact Information: (860) 486-2470
    Official Website: http://financialaid.uconn.edu/

     

    1. Definitions
      1. “Lending Institution” or “Lender” shall mean (i) any entity that itself, or through an affiliate, engages in the business of making loans to students, parents or others for purposes of financing higher education expenses or that securitizes such loans, or (ii) any entity, or association of entities, that guarantees education loans. “Lending institution” or “Lender” shall not include the University or the state or federal government.
      2. “University” shall mean the university, college, professional trade school or other entity providing post-secondary education that adopts this Code of Conduct.
      3. “Opportunity Loans” shall mean loans to international students or other students who, because they have poor or no credit history, do not have access to student loans on reasonable terms.
      4. “Compensation” shall mean anything of value including, but not limited to, money, credits, loans, discounts, payments, fees, forgiveness of principal or interest, reimbursement of expenses, charitable contributions, stock options, consulting fees, educational grants, vacations, prizes, gifts or other items of value, whether given directly or indirectly.
      5. “Trade Association” shall mean any higher education, financial aid, lending or banking trade, industry or professional association that receives Compensation within the preceding 12-month period from any Lending Institution or Lender.  The Connecticut Conference of Independent Colleges shall not be deemed to be a “trade association” solely by virtue of its contract to administer the Connecticut Higher Supplemental Loan Authority (“CHESLA”).
      6. “Outside Director” shall mean a member of a Lender’s Board of Directors or Board of Trustees who receives Compensation from such Lender in connection with his or her service on the Board of Directors or Board of Trustees and who receives no other compensation from the Lender as an officer, employee, or agent of the Lender or otherwise.
      7. “Agent” shall mean a person acting as a representative of and at the direction of or under the control of a University where such person’s responsibilities with respect to the University relate primarily to the University’s activities involving financial aid or the business of higher education loans.
    2. Code of Conduct
      1. Prohibition of Certain Compensation to University Employees
        1. No University trustee, director, officer, or Agent, or any employee who is employed in the financial aid office of the University or who otherwise has responsibilities with respect to higher educational loans or other financial aid at his or her University, and no spouse or dependent children of any such persons (“Family Member”), shall accept any Compensation of more than nominal value (not to exceed the gift  limits established in the State Code of Ethics), directly or indirectly, during any 12-month period from or on behalf of a Lending Institution or Trade Association, except that this provision shall not be construed to prohibit any officer, trustee, director, Agent or employee of the University, or any of their Family Members, from receiving Compensation for the conduct of non-University business with any Lending Institution or Trade Association or from accepting Compensation that is offered to the general public, if such Compensation is permitted pursuant to the State Code of Ethics.
        2. Notwithstanding the prohibitions in subsection II.A.1 or any other provision of this Code of Conduct: (a) The University may hold membership in any nonprofit professional association; (b) A University trustee, director, officer, or employee who does not have responsibilities with respect to higher educational loans or financial aid, may serve as an Outside Director of a Lending Institution or Trade Association and receive Compensation at the Lending Institution’s or Trade Association’s established compensation rates for Outside Directors, provided that any University trustee, director, officer or employee serving on the board of the Lending Institution or Trade Association is precluded from participating in such board’s discussions or decisions that might affect the interests of the University, and provided further that such University trustee, director, officer or employee complies with the University’s conflict of interest policy, and receives annual written notice of the requirements of both this Code of Conduct and the University’s conflict of interest policy.  Further, notwithstanding the prohibitions in subsection II.A.1, a trustee, director, officer or employee of a Lending Institution or Trade Association who does not have responsibilities with respect to higher education loans or financial aid shall not be prevented from serving on the Board of Directors of a University solely by virtue of his or her position with the Lending Institution or Trade Association, provided that any such person serving on the board of the University is precluded from participating in such board’s discussions or decisions that might affect the interests of such Lender or Trade Association or that relate to financial aid or higher education loans.
        3. Nothing in this Code of Conduct shall be construed to conflict with the requirements of Connecticut General Statutes ?10a-201 et seq., including without limitation ?10a-203(a), and ?10a-221 et seq.
        4. The prohibitions set forth in this subsection II.A shall include, but not be limited to, a ban on any payment or reimbursement by a Lending Institution or Trade Association to a University employee or Family Member for lodging, meals, or travel to conferences or training seminars unless such payment or reimbursement is related solely to non-University business  University employees whose duties relate to financial aid may accept food or refreshments of nominal value provided or paid for by a Lender or Trade Association at a meeting, conference or seminar related to their professional development or training, as permitted pursuant to the State Code of Ethics.  University employees are not precluded from attending any educational or training program related to financial aid or higher education loans where no registration fee is charged to any attendee because of a Lender’s or Trade Association’s sponsorship or support of the program, and provided that the registration fee is limited to covering the costs associated solely with the education or training component of the program, if permitted pursuant to the State Code of Ethics.
      2. Limitations on University Employees Participating on Lender Advisory Boards No University officer, trustee, director, Agent or employee, or any of their Family Members, shall serve on an advisory board for a Lender.  Lenders can obtain advice and opinions of financial aid officials on financial aid products and services through Trade Associations, industry surveys or other mechanisms that do not require service on Lender advisory boards and provided such person receives no Compensation for such service.  This provision shall not apply to participation on advisory boards that are unrelated in any way to financial aid or higher education loans.
      3. Prohibition of Certain Compensation to the University
        1. Neither the University, nor any alumni association, booster club, foundation, athletic organization, social organization, academic organization, professional organization or other organization affiliated with the University (“Affiliated Organizations”), may accept any Compensation from any Lending Institution or Trade Association in exchange for any advantage or consideration provided to the Lending Institution or Trade Association related to the Lending Institution’s or Trade Association’s financial aid or education loan activity.  This prohibition shall include, but not be limited to (i) revenue sharing by a Lending Institution or Trade Association with the University or Affiliated Organizations, (ii) the receipt by the University or Affiliated Organizations from any Lending Institution or Trade Association of any equipment or supplies, including without limitation, computer hardware and software, for which the University pays below-market prices, and (iii) printing costs or services, provided that a University or Affiliated Organizations shall not be prohibited from accepting a Lender’s or Trade Association’s own standard printed brochures or informational material that does not contain the University’s logo or otherwise identify the University.
        2. Notwithstanding anything else in this subsection II.C., the University may accept assistance comparable to the kinds of assistance provided by the Secretary of the U.S. Department of Education to schools under or in furtherance of the Federal Direct Loan Program.
        3. Nothing in this subsection shall prohibit a University from accepting endowment gifts, capital contributions, scholarship funding, or other financial support from a Lender or Trade Association, so long as the University gives no competitive advantage or preferential  treatment to the Lender or Trade Association related to its education loan activity in exchange for such support.
      4. Preferred Lender Lists
        In the event that the University promulgates a list of preferred or recommended lenders or similar ranking or designation (“Preferred Lender List”), then:

        1. Every brochure, web page or other document that sets forth a Preferred Lender List must clearly disclose, textually or by clearly designated hyperlink,  the process by which the University selected Lenders for said Preferred Lender List, including but not limited to the criteria used in compiling said list and the relative importance of those criteria; and
        2. Every brochure, web page or other document that sets forth a Preferred Lender List or identifies any Lender as being on said Preferred Lender List shall state in the same font and same manner as the predominant text on the document that students and their parents have the right and ability to select the education loan provider of their choice, are not required to use any of the Lenders on said Preferred Lender List, and will suffer no penalty from the University for choosing a Lender that is not on said Preferred Lender List;
        3. The University’s selection of Preferred Lenders and the University’s decision as to where or how prominently on the list the Lending Institution’s name appears shall be based solely on the best interests of student and parent borrowers, utilizing stated criteria that are limited to benefits provided to borrowers (such as competitive interest rates and repayment terms, quality of loan servicing, and whether loans will be sold) and the ability to work efficiently and effectively with the University to process loans, without regard to the pecuniary interest of the University or to any benefits provided by Lending Institutions to the University or any of the University’s officers, trustees, directors, Agents or employees or their Family Members.  The University’s selection of any Preferred Lender shall be limited to the types of loans for which that Lender has been selected, based on the benefits to the borrower for those types of loans, and the University’s Preferred Lender list shall indicate the types of loans for which each Lender has been selected as a Preferred Lender.  Nothing in this provision is intended to restrict the University’s ability to exercise its discretion in making its own, final judgment about which lenders best meet the University’s criteria and the needs of its student and parent borrowers.
        4. The University shall review its Preferred Lender List at least annually;
        5. The University shall require that all Preferred Lenders commit, in writing to disclose to the borrower, at the time a loan is issued: (a) whether the loan may be sold to another Lender; (b) that the loan terms and benefits will not change if the loan is sold to another Lender;   and (c) that the loan benefits may change if the borrower chooses to consolidate his or her loans; and
        6. The University shall ensure that any Preferred Lender list that it publishes to students contain no less than three (3) Lending Institutions.
      5. Prohibition of Lending Institutions’ Staffing of University Financial Aid Offices
        1. No employee or other agent of a Lending Institution may staff the University financial aid offices at any time.  The University shall ensure that no employee or other representative of a Lending Institution is ever identified to students or prospective students of the University or their parents as an employee or agent of the University.  The foregoing prohibitions notwithstanding, if the University believes that it would benefit students, the University may allow representatives of Lenders to conduct informational sessions, such as exit interviews and presentations on loan payment and loan consolidation options, so long as: (a) student attendance is voluntary; (b) a University representative explains that other Lenders may provide similar services;  (c) the affiliation of the Lender representative is disclosed at the start of the presentation; (d)  the Lender representative does not promote the products or services of any Lender, and (e) the University takes reasonable steps to ensure compliance with the requirements of this paragraph.
        2. In the event that the University permits a Lender to conduct information sessions or exit interviews as set forth in subsection E.1. above, the University must retain control of any interview or presentation offered by Lenders.  Control may be evidenced by: (a) a University employee attending such interview or presentation; (b) the University recording or videotaping the interview or presentation; or (c) with respect to an exit interview conducted electronically via the internet, the University creating or approving in advance the content of such electronic exit interview.
      6. Proper Execution of Master Promissory Notes The University shall not link or otherwise direct potential borrowers to any electronic Master Promissory Note or other loan agreement unless the Master Promissory Note or agreement allows borrowers to enter the Lender code or name for any Lender offering the relevant loan or the University’s link to the electronic Master Promissory Note or agreement informs borrowers of alternative means of entering into a Master Promissory Note or agreement with any Lender of the borrower’s choice.  Any information the University provides to borrowers about completing a Master Promissory Note or agreement with a Preferred Lender must provide the information required in subsections II.D.1 and II.D.2 above.
      7. Requirements for Opportunity Loans The University may enter into arrangements with Lenders to provide Opportunity Loans to students whose credit rating would otherwise preclude them from obtaining loans with reasonable rates and terms.  The University may enter into such arrangements with a Preferred Lender after the University has selected Preferred Lenders in accordance with the provisions of Section II.D above, or it may use a separate process for selecting Lenders to provide Opportunity Loans, so long as that process also complies with the provisions of Section II.D. above.  The University shall not request, accept, solicit or consider a Lending Institution’s offer to provide any Opportunity Loans in exchange for the University providing concessions, benefits or promises to the Lender.
      8. Revolving Door Prohibition
        1. In the event a University hires an employee who will be employed in the financial aid office of the University or who otherwise will have responsibilities with respect to higher educational loans or other financial aid and such employee was employed by a Lender during the 12 month period prior to the date of hire by the University, such employee shall be prohibited from having any dealings or interactions with such Lender on behalf of the University for a period of 12 months from the date such employee’s employment with the Lender was terminated.
        2. In the event a Lender hires an employee who was employed by the University during the 12-month period prior to the date of such employee’s hire by the Lender, the University shall be prohibited from having any dealings or interactions with such employee for a period of 12 months from the date such employee’s employment with the University was terminated.

    Policy History

    Approved by the Board of Trustees on January 22, 2008
    Reviewed September 21, 2018

    Undergraduate Education Field Trip Policy

    Title: Undergraduate Education Field Trip Policy
    Policy Owner: Office of the Provost
    Applies to: Faculty, Staff, Students, Others
    Campus Applicability:  Storrs and Regional Campuses
    Effective Date: June 5, 2013
    For More Information, Contact Office of the Provost
    Contact Information: (860) 486-2421
    Official Website: http://vped.uconn.edu/

     

    Field Trips are an important component of the experiential learning advocated in the University’s academic plan for undergraduate education. In order to promote the success and safety of all involved in field trips, the University of Connecticut has established this Field Trip Policy.

    I. PURPOSE

    A. To establish a policy and related procedures for field trips that involve faculty members, support staff, students, and/or other persons.

    II. REFERENCES

    A. Student Code of the University of Connecticut

    B. University Policies and Collective Bargaining Agreements

    III. DEFINITIONS

    A.  “Field Trip” means an educational off-campus excursion that is part of a credit-bearing academic course and is indicated on the course syllabus. Field trips do not include internships, study abroad, service learning assignments for individual students, on-campus excursions or trips by co-curricular groups (the Chess Club, the Chemistry Club, etc.). (See IV.A. for further information).

    B. “Field Trip Participants” means University of Connecticut faculty, staff, and students connected with the course. Other University of Connecticut faculty, staff, and students may participate with permission of the field trip coordinator, but they do so at their own risk and they must follow the designated guidelines.

    C. “Students” means part-time or full-time students enrolled at the University of Connecticut.

    D. “Trip Director” means the faculty member or other University employee designated to be in charge of a field trip.

    IV. GUIDELINES

    A.  Instructors must give prior notice to students that their class includes Field Trips. Instructors should ensure that the Catalogue lists the Field Trip; however, at a minimum, instructors must notify students about Field Trips on the class syllabus and on the first day of class.

    B. Field trips are University sponsored events and, as such, all relevant University policies, and state and federal laws apply to trip participants.

    C. Field trips begin and end on campus. Students who join or leave the field trip at any other point do so at their own risk. Regional campus field trips may begin and end in designated commuter areas.

    D. Field trips are either voluntary or mandatory. Voluntary field trips follow the same guidelines as those that are mandatory for the course.

    E. The Trip Director has the responsibility to enforce compliance with University policies and the Student Code by all persons participating in the field trip as would be expected in the traditional classroom setting.

    F. Students with disabilities must always be permitted to participate in field trips, and trips should be arranged in ways that reasonably accommodate them. Full consideration should be given by investigating the accessibility of the destination as well as transportation resources. Physical requirements should be clearly delineated and students should be afforded the opportunity to complete an alternate activity in the event that participation with reasonable accommodations is not feasible. Faculty members are encouraged to consult with students regarding accessibility concerns and may contact the Center for Students with Disabilities for assistance as well.

    G. All participants are individually responsible for their personal conduct while on the field trip. The University has no obligation to protect them from the legal consequences of violations of law for which they may be responsible.

    H. No alcoholic beverages or controlled substances shall be transported or consumed in any vehicle (private, rented, or leased) at ANY TIME or used or consumed during the course of the field trip.

    I. No narcotics, illegal drugs, or other controlled substances may be in the possession of, or used by, any person engaged in the field trip.

    J. Trip Directors must review and ensure compliance (including execution of any necessary forms) with the Field Trip Checklist while planning, preparing for, and executing a Field Trip.

    V. SANCTIONS

    A. Violations of this Field Trip Policy may be the basis of appropriate sanctions, including the initiation of formal charges under applicable provisions of the Student Code or the relevant collective bargaining agreements and University policies.

    B. While actually engaged in a field trip, the Trip Director may enforce the provisions of this Field Trip Policy by withdrawal or limitation of privileges, or, in the event of repeated violations, by excluding the offending person from further participation and arranging to return the offender to the campus or to convey him/her to the nearest point of public transportation for return to the campus. The cost of such return transportation is a proper charge against University funds, but the University reserves the right to obtain reimbursement from the offender.

    VI. VEHICLE USE

    A. The University does not maintain a fleet of vehicles. If a vehicle is needed for a field trip, the department can rent or lease from a University-contracted rental agency. Drivers of rental vehicles must be employed by the university and must be at least 21 years of age. Insurance and damage waivers are required when renting a vehicle from a third party.

    B. There may be occasions when you will drive your own vehicle for a field trip with the approval of the Trip Director. In that scenario, your own automobile insurance policy serves as the “primary” policy for third-party liability and physical damage to your vehicle. If a claim arising out of an accident exceeds your personal liability limits, then the University’s policy may cover the accident in excess of your policy, but only for liability, not damage to your vehicle. You are responsible for any deductible amounts under your policy.

    C. Drivers of University owned, rented or leased vehicles must comply with the UConn Motor Vehicle Policy which can be found on the UConn ePolicy page. Questions regarding this policy should be directed to the Office of the Executive Vice President for Administration and Chief Financial Officer.

    Any questions regarding this policy may be directed to the Office of the Vice Provost for Academic Affairs.

    FERPA Policy

    Title: FERPA Policy
    Policy Owner: Office of University Compliance and Registrar
    Applies to: Faculty, Staff, Students, Others
    Campus Applicability:  All Campuses
    Effective Date: August, 2016
    For More Information, Contact University Privacy Officer
    Contact Information: privacy@uconn.edu
    Official Website: http://ferpa.uconn.edu/

    FERPA Policy

    Policy Statement on Protection of Rights and Privacy of Students

    A.    Definitions: As used in this policy, the following terms have the following meanings.

        1. Alleged Perpetrator of a Crime of Violence: A student who is alleged to have committed acts that, if proven, would constitute any of the following offenses or attempts to commit the following offenses: arson; assault offenses; burglary; criminal homicide (manslaughter and murder); destruction, damage, or vandalism of property; kidnapping or abduction; robbery; and/or sexual assault.
        2. Attendance:  Participation in University course(s) in person, or via paper correspondence, videoconference, satellite, Internet, or other electronic information and telecommunications technologies for students who are not physically present in the classroom.  It also includes the period during which a person is working under a work-study program.
        3. Dates of Attendance: The period of time during which a student attends or attended the University. The term does not include specific daily records of attendance.
        4. Directory Information: Information contained in an Education Record of a student that by itself would not generally be considered harmful or an invasion of privacy if disclosed. Directory information includes: the student’s name; date of birth; addresses (including but not limited to physical address and email address); telephone number; PeopleSoft Number, NetID; school or college; major field of study; degree sought; student level (freshman, sophomore, etc.); degrees, honors, and awards received; residency/match information (for medical and dental students); dates of attendance; participation in officially recognized activities and sports, weight and height of athletic team members and other similar information including performance statistics, photographic likenesses and video of athletic team members; for student employees, employing department and dates of employment.
          The University reserves the right to amend this listing consistent with federal law and regulations and will notify students of any amendments by publication in the Annual FERPA Notification.  Directory Information may only be disclosed in accordance with the provisions outlined in Section D. below.
        5. Disclosure Logs: Documents maintained by the appropriate University records custodians that records for each request for and each disclosure of Personally Identifiable Information of a student, and that indicates everyone who has requested or obtained Personally Identifiable Information and their legitimate interests in obtaining it (other than those enumerated in section F. below).
        6. Education Records: Any records maintained in any form or medium by the University that are directly related to a student.
        7. FERPA: Family Educational Rights and Privacy Act, 20 U.S.C. sec. 1232g, et seq. as amended, and the regulations at 34 C.F.R. Part 99.
        8. Hearing Body:
          1. Storrs and Regional Campuses:  One or more persons assigned by the Vice President of Student Affairs or designee to determine whether an educational record is inaccurate, misleading or otherwise in violation of the student’s privacy rights, and therefore should be amended or deleted from the student’s records.
          2. University of Connecticut Health Center (UCHC): One or more persons assigned by the Dean of Students for each school (Medical and Dental) or designee to determine whether an educational record is inaccurate, misleading or otherwise in violation of the student’s privacy rights, and therefore should be amended or deleted from the student’s records.

          Individuals who have a direct interest in the outcome of the hearing may not serve on the Hearing Body (i.e., may not be from the University department or division with whom the student has the conflict under FERPA).

        9. Legitimate Educational Interest:  A University Official has a legitimate educational interest if it is in the educational interest of the student in question for the official to have the information, or if it is necessary for the official to obtain the information in order to carry out his or her official duties or to implement the policies of the University of Connecticut. Any University Official who needs information about a student in the course of performing instructional, supervisory, advisory, or administrative duties for the University has a legitimate educational interest.
        10. Parent: Includes a parent of a student, a guardian, or an individual acting as a parent in the absence of a parent or guardian.
        11. Personally Identifiable Information: A student’s name; the name of a student’s parent or other family member; the address of a student or student’s family; a personal identifier, such as the social security number or student number, or any portion thereof;  biometric record (meaning, biological or behavioral characteristics used for automated recognition of an individual, such as fingerprints, retina and iris patterns, voiceprints, DNA sequence, facial characteristics, handwriting); other indirect identifiers, such as the student’s date of birth, place of birth, and mother’s maiden name; other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty; or information requested by a person who the educational agency or institution reasonably believes knows the identity of the student to whom the education record relates.
        12. Student: One who is presently enrolled and attending or who has been enrolled and attended the University’s degree, non-degree and non-credit programs. It does not include deceased students.
        13. Student Code: Regulations governing student conduct; also known as “Responsibilities of Community Life: The Student Code.”
        14. University: for the purposes of this policy, “University” means the University of Connecticut, all campuses.
        15. University Official: The term “University Official” (sometimes called “School Official”) means any person employed by the University in an administrative, supervisory, academic, research or outreach, or support staff position (including law enforcement unit personnel and health staff).  The term also includes any contractor, consultant, volunteer, or other party to whom the University has outsourced institutional services or functions where the outside party–
          1. Performs an institutional service or function for which University would otherwise use employees;
          2. Is under the direct control of the University with respect to the use and maintenance of education records; and
          3. Is subject to the requirements of FERPA governing the use and redisclosure of personally identifiable information from education records.

           

          Examples of “University Officials” include, but are not limited to: attorneys, auditors, collection agents, officials of the National Student Clearinghouse, or the; a person serving on the Board of Trustees; Reserve Officers’ Training Corps (ROTC) cadre members (limited to their relationship with students enrolled in the ROTC program and/or enrolled in ROTC courses); or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another University Official in performing his or her tasks.

    B. Rights of Students

    1. Students of the University have a right to:

          • Be provided a list of the types and location of educational records maintained by the University and the titles and contact information of the officials responsible for those records.
          • Inspect and review Education Records (except as excluded in section H. below), within 45 days of a written request being presented to the authorized custodian of the records in question;
          • Receive a response from the University to reasonable requests for explanations and interpretations of Education Records within ten (10) business days;
          • Request amendments to their Education Records if the student believes that they are inaccurate, misleading, or otherwise in violation of privacy rights.  If the University refuses to make such amendments, the student shall have an opportunity for an administrative hearing to challenge the content of the record on the same grounds and to insert a written statement or explanation commenting upon the information in the record;
          • Inspect and review only such parts of educational material documents as relate to him/her or to be informed of such specific information;
          • Receive a copy, if desired, of all records supporting enrollment or transfer to another school, and have an opportunity for an administrative hearing to challenge the content of these records;
          • Revoke, in writing, any previously executed waiver of rights under FERPA, with respect to any actions occurring after revocation;
          • Inspect the Disclosure Logs maintained by appropriate University record custodians with regard to the student’s Education Record(s); and
          • File complaints with the Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue S. W., Washington, D.C. 20202-4605.  Complaints may also be filed with the University’s Compliance Office by calling the Assistant Director of Compliance/Privacy at (860) 486-5256 or online at https://www.compliance-helpline.com/uconncares.jsp, or the UCHC Compliance Office by calling the Associate Education Compliance Officer at (860) 679-1280 or email compliance.officer@uchc.edu.

     

    C. Disclosure of Education Records. Education Records or other Personally Identifiable Information (other than Directory Information, as described in Section D. below) may not be disclosed without the student’s prior written consent except in the following instances.   For purposes of compliance with FERPA, the University considers all students, regardless of age or tax dependency status to be independent. Therefore, educational records will not be provided to parents without the written consent of the student, except where one or more of the exceptions below applies.

        1. To the student himself/herself, unless he/she has waived the right;
        2. To University Officials who have a legitimate educational interest in the records.
        3. To officials of other schools in which the student seeks or intends to enroll or has enrolled, as long as the disclosure is for purposes related to the student’s enrollment or transfer, and provided the student may upon request have a copy of the records so transferred;
        4. In connection with determining eligibility, amounts, and conditions, or enforcing terms of financial aid for which the student has applied or that which he or she has received;
        5. To comply with a judicial order or lawfully issued subpoena, provided the University makes a reasonable effort to notify the student of the order or subpoena in advance of the compliance therewith, unless such notification is not required by FERPA;
        6. To appropriate parties in connection with a health and safety emergency where the University determines that there is a articulable and significant threat to a student or any other individuals, where the knowledge of such information is necessary to protect the health or safety of the student or other individuals;
        7. To law enforcement agencies and to certain other governmental authorities and agencies as are enumerated in and required or permitted by FERPA;
        8. To a court in connection with legal action by the University against a student or a student’s parent or by a student or student’s parent against the University;
        9. To the parent of a student regarding the student’s violation of any Federal, State, or local law or of any rule or policy of the University, governing the use or possession of alcohol or a controlled substance where:
          1. The University has determined that the student has committed a disciplinary violation with respect to that use or possession; and
          2. The student is under the age of 21 at the time of the disclosure to the parent.  Such disclosure will occur in accordance with the University’s Parental Notification Policy through the Division of Student Affairs.  For more information, visit the Division of Student Affairs Community Standards website at:  http://www.community.uconn.edu.
        10. To a victim of an Alleged Perpetrator of a Crime of Violence or a Non-forcible Sex Offense. Such disclosure may only include the final results of the disciplinary proceedings conducted by the University with respect to the alleged crime or offense. The University may disclose the final results of the disciplinary proceeding regardless of whether the University concluded a violation was committed;
        11. Disclosure of the final result of a disciplinary proceeding where the alleged perpetrator-student is found to have violated University policy with respect to a criminal allegation.  Such disclosure may be made (even to members of the public in certain circumstances) where the University has determined through its disciplinary proceedings that a student is (a) an Alleged Perpetrator of a Crime of Violence or a Non-forcible Sex Offense; and (b) with respect to the allegation made against the student, the student has committed a violation of the Student Code. Such a disclosure may only include the Final Results of the disciplinary proceedings conducted by the University with respect to the alleged crime or offense. The University may not disclose the name of any other student, including a victim or witness, without the prior written consent of the other student. This paragraph applies only to disciplinary proceedings in which the Final Results were reached on or after October 7, 1998;
        12. To authorized representatives of the federal, state and/or local government as permitted by FERPA in connection with an audit of federal- or state-supported education programs or with the enforcement of or compliance with federal legal requirements relating to those programs.
        13. To accrediting organizations to carry out their accrediting functions; and
        14. To organizations conducting studies for, or on behalf of, educational agencies or institutions to:
          1. Develop, validate, or administer predictive tests;
          2. Administer student aid programs; or
          3. Improve instruction.

          Disclosures made pursuant to this paragraph are subject to the requirements that (i) the studies are conducted in a manner that does not permit personal identification of parents and students to individuals other than representatives of the organization; and (ii) the information is destroyed when no longer needed for the purposes for which the study was conducted.

        15. Pursuant to a student record release request made under the Solomon Amendment. (See section E. below.)

     

    D. Disclosure of Directory Information/Limited Directory Information Policy:

    The University hereby gives notice that the categories of information defined herein as Directory Information may be released without the prior written consent of the student under the circumstances enumerated below.  The University reserves its right to determine when and to whom it is appropriate to release Directory Information in response to third party requests.  Any release of information deemed to be appropriate by the University will only occur as enumerated below:

    1. The following categories of Directory Information may be disclosed to anyone who so requests:

    • Name
    • NetID
    • PeopleSoft Number
    • School or College
    • Major Field of Study
    • Degree Sought
    • Student Level
    • Degrees, Honors & Awards Received
    • Residency/Match Information (medical/dental students)
    • Dates of Attendance
    • Participation in Officially Recognized Activities and Sports
    • Weight and Height of Athletic Team Members and Other Similar Information Including Performance Statistics
    • Photographic Likenesses and Video of Athletic Team Members
    • For Student Employees, Employing Department & Dates of Employment

    2. In addition to the information in category #1, the following categories of Directory Information may be disclosed to the UConn Foundation (including the UConn Alumni Association) and/or the UConn Law School Foundation:

    • Date of Birth
    • Addresses (physical and email)
    • Telephone Number

    3. In addition, any member of the University community with a NetID  may access student email addresses, as long as the access is for University-related purposes.  However, such individuals may not use any student emails accessed through this process for commercial purposes or otherwise in violation of other University policies or applicable state or federal law.

    4. Opting Out of Directory Information:  Students who wish to opt-out of having their directory information disclosed without their prior consent must make the request in writing.  At the Storrs and Regional Campuses, all requests shall be directed to the Office of the Registrar, Wilbur Cross Building, Unit 4077, Storrs, CT 06269-4077.  At UCHC, all requests shall be directed to the Student Services Center, 263 Farmington Avenue, Farmington, CT 06030-1827.  Such requests shall apply only to subsequent actions by the University and shall remain in place until removed by written request of the student. A student may not use the right to opt out of Directory Information disclosures to prevent the University from disclosing or requiring a student to disclose the student’s name, identifier, or institutional e-mail address in a class in which the student is enrolled. Student employees must contact the Student Employment division within the Office of Student Financial Aid Services to restrict access to any employment-related Directory Information.  The University will not use Social Security Numbers as a means of verifying the identity of a student, nor to confirm identity of the student upon the request for the release of Directory Information about the student.

    E. Military Access to Education Records. The Solomon Amendment is not a part of FERPA, but it allows military organizations access to information for the purposes of military recruiting which information may otherwise be protected from disclosure under FERPA. Failure to comply with this requirement could result in the loss of various forms of federal funding including various forms of Federal Student Aid.

    1. At the University of Connecticut, all items included under the Solomon Amendment’s list of required information are included within the University’s definition of “Directory Information.” These include name, addresses, telephone numbers, age, major, dates of attendance and degrees awarded.
    2. Information released is limited to military recruiting purposes only. The request for information must be in writing on letterhead that clearly identifies the military recruiting organization. Military recruiters must be from one of the following United States military organizations: Air Force; Air Force Reserve; Air Force National Guard; Army; Army Reserve; Army National Guard; Coast Guard; Coast Guard Reserve; Navy; Navy Reserve; Marine Corps; Marine Corps Reserve.
    3. If a student requests that their Directory Information be withheld under section D.4. of this policy, the student’s records will not be released to military recruiters.

     

    F.  Disclosure Logs. The appropriate University records custodian shall maintain a log of each request for and each disclosure of Personally Identifiable Information from the Education Records of a student, that indicates the persons who have requested or obtained Personally Identifiable Information and their legitimate interests in obtaining it. However, this requirement does not apply to:

    1. Disclosures pursuant to the written consent of the student, when the consent is specific with respect to the party or parties to whom the disclosure is to be made;
    2. Disclosures to University Officials, when it has been determined that the official has a legitimate educational interest; and
    3. Disclosures of Directory Information; and
    4. Disclosures to the student upon the student’s own request.

     

    G.  Redisclosure. University Officials who disclose personally identifiable information from an Education Record must inform the recipient of the information that he/she/it may not redisclose that information without the consent of the student, and that the recipient may only use the information received for the purpose for which the disclosure was made, except where one of the exceptions in Section C. above applies.

     

    H. Records Excluded from the Definition of Education Records. The following materials, information, and records which are excluded from the definition of Education Records are not available to students for inspection, review, challenge, correction, or deletion:

    1. Confidential letters and statements of recommendation which were placed in the Education Records prior to January 1, 1975, if they are not used for purposes other than those for which they were specifically intended;
    2. Confidential letters and statements of recommendations, used solely for the purposes for which they were specifically intended, if the student has waived the right to inspect and review recommendations:
      1. regarding admission to an educational institution,
      2. regarding an application for employment, and
      3. regarding the receipt of an honor or honorary recognition;
    3. Financial records and statements of the student’s parents or any information contained therein;
    4. Records of instructional, supervisory, or administrative personnel or educational personnel ancillary thereto, which are kept in the sole possession of the maker thereof, are used only as a personal memory aid, and are not accessible or revealed to any other person except a temporary substitute for the maker of the record;
    5. Records which are created or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting or assisting in that capacity, used only in providing treatment to the student, and not available to anyone other than persons providing such treatment, except that such records may be personally reviewed by a physician or other appropriate professional of the student’s choice;
    6. Records made and maintained in the normal course of business which relate exclusively to the individual in his or her capacity as an employee and are not available for any other purpose; this exclusion does not apply to an individual who is employed by the University as a result of his/her status as a student (i.e., interns, graduate assistants, work-study, etc.);
    7. Records that only contain information about or related to a former student once he or she is no longer enrolled at the University (e.g., information regarding alumni or regarding individuals who attended the University at some point but are no longer enrolled);
    8. Records of a law enforcement unit of the University created and maintained by that law enforcement unit for the purpose of law enforcement.  This exception does not include those records created by a law enforcement unit, even if the records were created for law enforcement purposes, if such records are maintained by a component of the University other than the law enforcement unit; and
    9. Grades on peer-graded papers before they are collected and recorded by a teacher.

     

    Student Rights to Inspect and Challenge Education Records. The University shall provide a student the opportunity to challenge the content of his or her Education Records where the student believes the record(s) to be inaccurate, misleading, or otherwise in violation of privacy rights, and to correct, delete, or insert written statements of explanation into such record(s). This does not give a student a right to contest or challenge an assigned grade. Although disagreements may be settled through informal meetings and discussions, either the student or the University may request an administrative hearing to resolve the dispute.  The student or University administrator seeking the hearing shall make his or her request in writing.

    Send a written request to:

    University Privacy Officer
    University of Connecticut
    Office of University Compliance
    28 Professional Park Unit 5084
    Storrs, Connecticut 06268-5084

    The Hearing Process:

    1. The hearing shall be conducted and decided within a reasonable period of time following the request, and the student shall be given notice of the date, time, and place reasonably in advance of the hearing.  Normally, the hearing will be conducted within ten (10) business days following the date the hearing request has been received.
    2. The student will have, at the formal hearing, the opportunity to present evidence and argument to a Hearing Body in support of his or her contention that the records are inaccurate, misleading or otherwise inappropriate. The student may, at his or her own expense, be assisted by one or more individuals of his or her own choice, including an attorney. The student may present evidence and question witnesses.  The burden shall lie with the student to show that it is more likely than not (preponderance of the evidence) that the University department should have made the student’s requested changes to his or her records, and/or that a violation of the student’s rights under FERPA has occurred.
    3. The University department with whom the student has the conflict may present a case in rebuttal with the same aforementioned procedural rights. The University department shall be provided an opportunity to present evidence relevant to the issues raised by the student;
    4. The hearing shall be conducted by a Hearing Body who will hear all testimony, review all evidence presented at the hearing and render a decision.  The Hearing Body shall be appointed by the Vice President of Student Affairs for the Storrs and Regional Campuses, or by the Dean of Students for each school (Medical and Dental) at UCHC,  provided that person(s) does not have a direct interest in the outcome;
    5. The Hearing Body shall ensure that the decision is rendered to the student in writing within a reasonable time after the conclusion of the hearing, is based solely upon the evidence presented at the hearing, and shall include a summary of the evidence and the reasons for the decision.  The decision of the Hearing Body shall be final.
    6. If the matter is not resolved to the satisfaction of the student, the student may draft a written response to be included with the Education Record(s) in question that details the student’s issue(s) with the Education Record(s) in question, and a description of why the student believes the Education Record(s) in question to be inaccurate, misleading, or otherwise in violation of privacy rights.