Board of Trustees Approved

Endowed Chairs and Professorships, Policy on

Title: Endowed Chairs and Professorships, Policy on
Policy Owner: Board of Trustees
Applies to: Faculty
Campus Applicability: All
Effective Date: September 26, 2001
For More Information, Contact Board of Trustees Office
Contact Information: (860) 486-2333
Official Website: http://boardoftrustees.uconn.edu/

 

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

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

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

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

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

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

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.

 

 

 

Re-Employed Retirees, Policy on

Title: Re-Employed Retirees, Policy on
Policy Owner: Human Resources & Payroll Services
Applies to: Faculty, Staff
Campus Applicability:  All Campuses
Effective Date: August 7, 2013
For More Information, Contact Human Resources
Contact Information: (860) 486-3034
Official Website: http://www.hr.uconn.edu/

Background

The mission of the University of Connecticut requires we ensure that our students receive the instruction, academic support, health services, security, and programming for which they have paid. It includes clinical services and patient care, not only to the public but also to the State’s correctional population. As a research university and recipient of federal grants, we have significant contractual and compliance obligations to our granting agencies.

It is within this context the University uses re-employed retirees to meet a variety of needs at a cost savings to the University and the State of Connecticut. The use of re-employed retirees permits assignment of experienced and at times uniquely qualified individuals with proven abilities to meet immediate, temporary, seasonal and ongoing irregular staffing needs. The ability to retain particular expertise in the classroom or the need to tap into the knowledge and expertise of a former employee supported by extramural funding may also be served by the use of re-employed retirees.

General Policy

Re-employed retirees may be used on a limited basis when the operational requirements and financial benefits outweigh the use of regular, continuing employment categories or when ongoing staffing requirements cannot be fully determined.  Re-employed retirees should generally not be funded by the state appropriation and are not eligible for annual salary adjustments.

Re-employed retiree appointments will be reviewed annually by the appropriate member of the President’s Cabinet and Human Resources to assess the continued operational needs and to ensure conformance with the Policy.  Proposals to re-employ retirees into senior administrative positions require prior review and approval by one of the following or his/her designee:  the President, Provost, Executive Vice President for Administration & Chief Financial Officer, or the Executive Vice President for Health Affairs.

 

Examples of appropriate uses for re-employed retirees include:

  • Maintain faculty with unique,  specialized knowledge and skills where qualified replacements cannot be immediately recruited or where it is financially beneficial for the University to maintain their expertise
  • Provide qualified staff on a temporary or project basis when part or full-time positions are neither operationally sufficient or financially beneficial
  • Prevent the loss of potential revenues generated on newly acquired grants or contracts
  • Mitigate against a threat to patient or public safety
  • Meet immediate and essential staffing needs required by accrediting agencies, e.g. JCHAO, DPH or other regulatory bodies
  • Secure the expertise of uniquely qualified researchers or staff in support of extramural funding or established grant projects when the individual’s compensation is fully supported by external resources
  • Cover contractually or legally mandated leaves of absence, e.g. FMLA
  • Provide clinical coverage to reduce use of agency staff through ongoing float positions

Any questions regarding this policy should be directed to the appropriate Human Resources liaison for clarification or assistance.

Additional Information for Specific Position Types

General Administrative Positions

Based on the Governor’s Executive Order, the compensation rate for individuals rehired into the same position in which the individual just retired should not exceed 75% of the individual’s pre-retirement pay for 120 days of work.  The compensation rate for individuals rehired into different jobs from which they retired should be consistent with the assigned duties to be performed and should not exceed the established University or State of Connecticut minimum salary for the job classification.

Re-employed retirees hired to perform general administrative support will be limited to no more than three 120-day calendar year periods.  Re-employed retirees hired for seasonal work may be continued to be re-employed beyond three years provided their appointments each calendar year are not longer than three months.

 

Instructional/Research Positions

The compensation rate for individuals rehired into the same position in which the individual just retired should generally not exceed 75% of the individual’s pre-retirement pay for 120 days of work.  Teaching a maximum of 12 load credits per calendar year is equivalent to 120 days per calendar year.  The compensation rate for individuals rehired into different jobs from which they retired should be consistent with the assigned duties to be performed and should not exceed the established University or State of Connecticut minimum salary for the job classification.

 

Faculty and other staff who primarily perform research activities as re-employed retirees and are self-funded by grants and/or contracts will be limited to the period of time for which they receive external funding supporting their own appointment and compensation.  Grant and/or contract funded retirees shall be compensated at a rate consistent with the salary terms of the grants and/or contracts.  Such appointments may be extended for the term of the research funding.

 

 

Clinical Positions

The compensation rate for individuals rehired into the same position in which the individual just retired should generally not exceed 75% of the individual’s pre-retirement pay for 120 days of work.  The compensation rate for individuals rehired into different jobs from which they retired from should be consistent with the assigned duties to be performed and should not exceed the established University or State of Connecticut minimum salary for the job classification or themarket rate for certain per diem positions.

Re-employed retirees hired to perform clinical duties will generally be limited to no more than three 120-day calendar year periods.  However, certain per diem, float and direct patient care positions may be considered for additional employment based on clinical need.

Approved by the Board of Trustees: April 21, 2009. Revised and Approved by the Board of Trustees: August 7, 2013

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

Extra Compensation for Full-time Faculty in AAUP, Policy on

Title: Extra Compensation for Full-time Faculty in AAUP, Policy on
Policy Owner: Human Resources & Office of the Provost
Applies to: Faculty
Campus Applicability:  Storrs and Regional Campuses
Effective Date: September 26, 2006
For More Information, Contact Human Resources & Provost
Contact Information: (860) 486-3034
Official Website: http://www.hr.uconn.edu/

Purpose:
It is the policy of the University that a faculty member’s base annual salary is full remuneration for the performance of his/her regular duties. The scope of work that is expected of faculty members includes teaching, research and service. The load is defined at the departmental and school levels.

The University recognizes, however, that faculty undertake work at times that is distinctly beyond their regular responsibilities. Such work may occur during the standard academic year or may be undertaken during the winter or summer breaks. This policy establishes the standards under which full-time faculty performing such additional assignments may receive extra compensation in conformance with relevant state and federal regulations including 2 CFR Part 200 (commonly referred to as Uniform Guidance) as applicable.

Policy:
Extra compensation is defined as compensation received by a faculty member above the base annual salary of a nine, ten or eleven month appointment. Base annual salary does not include longevity pay. This policy applies to full-time faculty.

Faculty members may earn, over the course of a year, no more than the twelve month equivalent of his/her base annual salary, except as provided under the conditions described in the following sections:

  • Consulting
  • Prizes and Awards

Royalties received by a faculty member do not fall under the purview of this policy.

Work During the Academic Year or Applicable Appointment Period:
No member of the faculty may receive extra compensation from University administered sources, including grants and contracts, for work directly related to his/her regular university responsibilities during the contracted period (nine, ten or eleven month) of his/her appointment except as noted in the following sections.

Instructional Activity Outside the Applicable Appointment Period:
Faculty may receive additional compensation for teaching during the winter or summer break. Maximum compensation for all periods (including the nine to eleven month terms) combined is the equivalent of the faculty member’s twelve month salary. The equivalent salary is calculated on the faculty member’s base annual salary, excluding longevity pay, applicable to their term of appointment.

Instructional activities performed during the winter intersession, May term and summer session are compensated according to the Memorandum of Agreement between the University and the American Association of University Professors (dated January 2005) for faculty covered by the AAUP collective bargaining agreement.

Credit Instruction at Off Campus Locations:
The Dean of a school/college may establish course offerings at a campus other than a faculty member’s home campus or at other off-campus locations, after determining that no one is available to teach the course as part of a normal work load and it is not appropriate to hire adjunct faculty. Faculty assigned to teach under these circumstances are paid $5,000 per three-credit course or 8.5% of the base academic year salary of the member, whichever is greater. The amount is pro-rated for different credit loads. Faculty members teaching such courses are to be compensated at the time the course is offered, but such compensation may not cause a faculty member over the course of a year to earn more than the twelve month equivalent of his/her base annual salary.

Summer Research:
Faculty performing research activities during the summer months (May through August), may be paid up to three months compensation from the appropriate grant or contract, consistent with the policies of the applicable funding agency. However, in no case may a faculty member earn over the course of a year, more than the twelve month equivalent of his/her base annual salary. Many federal agencies have additional stipulations relating to their grants. For instance NSF limits additional summer earnings to the equivalent of two months salary, and HHS “restricts the amount of direct salary of an individual under an NIH grant or cooperative agreement or applicable contract to Executive Level I of the Federal Executive Pay scale.”

Temporary Administrative Assignment:
If a faculty member is involved with a temporary administrative assignment during the course of the academic year, for which the responsibilities clearly exceed the individual’s normal appointment, then s/he may be paid an administrative supplement for this activity. This activity and the administrative supplement associated with it must be approved in writing in advance by the Dean and the Provost. Following approval, a letter of administrative assignment must be issued to the faculty member describing the activity and the new base salary for that academic year. The administrative assignment represents a temporary redefinition of the individual’s workload and base salary for that year.

Termination of the assignment will result in cancellation of the administrative supplement. Administrative assignments may be renewed or extended with prior approval of the Dean or the Provost. A letter of administrative assignment confirming the term of the extension is issued to the faculty member. The administrative supplement should be commensurate with the base pay rate and the additional responsibilities and should ordinarily not exceed 10% of the individual’s base salary. Compensation above the base salary for work of this nature is not permitted on activities funded by federal grants or contracts.

Consulting:
External Consulting:
Section XV.M of the University of Connecticut Laws and By-Laws, Thirteenth Edition, Revised 04/02, states: “No member of the professional staff or other employee in the service of the University shall devote to private purposes any portion of the time due the University without consent. Members of the professional staff may take on outside consulting and research activities only after the specific project has been approved by the appropriate University official.”  Faculty must submit a completed copy of the consulting request form to the department head. The signature of the department head on the request  certifies that the work will be professionally appropriate, that it will not interfere with the staff member’s assigned duties, that it will not take more than the equivalent of one day per week, that University facilities will not be used, and that there will be no conflict of interest. If approved by the department head, the consulting form is then submitted to the dean for review. The dean may then approve the request on behalf of the Provost, granting permission for the dates, amount of time, and task indicated. Compensation for external consulting is arranged between the faculty member and the contracting organization. As such the amount of earnings is not subject to the University’s policy on extra compensation.

Intra-University:
If a faculty member engages in university sanctioned activity that involves consulting at remote operations including corporate sites, extra compensation may be provided to the faculty member if the work performed is in addition to his/her regular departmental load and charges for such work are specifically provided for in the agreement or approved by the sponsoring agency or organization. Such activities must also be approved by the dean of the school/college and the Provost and a copy of the contract agreement between the corporations and the school/college (and not necessarily the individual faculty member) must be on file with the Office of Dean. A copy of this agreement must be included with the payroll authorization for such compensation. This compensation must be funded solely from funds generated through the contract agreement. Compensation for work of this nature is not permitted on activities funded by federal grants or contracts.

Compensation for such consulting arrangements is not considered part of the faculty member’s base salary for the purposes of calculating compensation for intersession or summer teaching, or summer research. The compensation should be commensurate with the faculty member’s base pay rate and total compensation from all such activities should ordinarily not exceed 10% of the individual’s base salary. The compensation received for such consulting will be treated as salary, paid via University payroll and deductions for retirement, health insurance and other items will be taken.

The time involved in such intra-university consulting should be considered a component of (and not in addition) to the overall allowable consulting time permitted under University policy.   Therefore, effort devoted to all forms of consulting combined, may not exceed the equivalent of one day per week

Prizes and Awards:
Endowed Named Chairs, Professors and Scholars: Endowed awards for named chairs, professors and scholars are established by a process requiring approval of the Provost as well as a signed agreement with a donor. The school or college in which an endowed award is established must provide proof of a minimum funding level in the designated income producing foundation account in order to augment the compensation of the faculty member receiving the award.

The terms of the written agreement with the donor must explicitly permit such augmentation. The form of augmentation may be dispersed in conjunction with the faculty member’s base annual salary or in the form of a lump sum stipend. If paid as a lump sum stipend, the award is not considered part of a faculty member’s base salary for the purposes of calculating compensation for intersession or summer teaching, or summer research.

Salary augmentation, in the form of either a stipend or addition to base salary, ceases when the faculty member is no longer serving as an endowed chair, professor or scholar.

Awards of Excellence: The University acknowledges that faculty may be the recipients of national and international awards of excellence.  Such external awards bring recognition to the recipient and to the University and are a reason for celebration and pride.  Nothing in the extra-compensation policy disallows or precludes a faculty member from receiving such an award.

This section on Awards of Excellence applies solely to prizes and awards established by the University.  Faculty may receive prizes and awards in recognition of exceptional teaching, research or service to the University; these awards should not exceed $5,000 during the academic year. Criteria for awards should be established and communicated in advance and the selection of awardees generally done by a committee of peers. All payments for faculty awards and prizes must be approved in writing by the appropriate Dean and the Provost and be given in compliance with the published criteria and process. No monetary prizes or awards may be given without prior written approval from the Provost or his/her designee. These prizes and awards are not considered part of a faculty member’s base salary for the purposes of calculating compensation for intersession or summer teaching, or summer research.

Approved by the Board of Trustees April 11, 2006

Revised policy approved September 26, 2006

Minor revision June 10, 2015

Employment and Contracting for Service of Relatives, Policy on

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

 

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

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

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

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

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

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

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

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

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

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

Title: Consulting for Faculty and Members of the Faculty Bargaining Unit, Policy on
Policy Owner: Office of the Provost
Applies to: Faculty
Campus Applicability: All Campuses
Effective Date: March 25, 2015
For More Information, Contact: Office of the Provost
Contact Information: (860) 486-4037
Official Website: http://consulting.uconn.edu/

 

POLICY ON CONSULTING FOR FACULTY AND MEMBERS OF THE FACULTY BARGAINING UNIT

March 25, 2015

1. INTRODUCTION

Consulting is a time honored and frequent activity of faculty throughout U.S. research universities. The ability to consult is important in promoting recruitment and retention of faculty of the highest quality. Often, such consulting activities provide a range of benefits including fostering economic development, enhancing the reputation of the University, promoting faculty development and enhancing the faculty’s ability to bring to the classroom current and relevant “real world” experiences, among others.

Consulting is an activity performed by a faculty member for compensation as a result of his/her expertise or prominence in his/her field while not acting in his/her official capacity as a State employee (i.e. in his/her own time.)  The University’s Laws and Bylaws prohibit faculty from consulting on “time due to the University”.

2. PURPOSE

This Policy describes how members of the faculty and members of the faculty bargaining unit (both hereafter referred to as “faculty member(s)”) may participate in consulting activities while complying with the State of Connecticut Code of Ethics, the University of Connecticut Ethics Statement, the University’s Code of Conduct and the University’s Laws and Bylaws.

3. SCOPE

This policy applies to all faculty members paid by the University of Connecticut and University of Connecticut Health Center.

4. DEFINITIONS

a) consulting – providing services, advice and similar activities for compensation[1],  based on a faculty member’s professional expertise or prominence in his or her field, while not acting as a State employee.

b) contracting entity – The entity engaging and compensating the faculty member for the consulting activity.

c) ‘time due to the University’ – Any time necessary for successfully carrying out the duties assigned to and for which a faculty member was hired.  This includes both sufficient time to perform assigned duties as well as sufficient opportunity to meet with other faculty, staff and students.

d) “normal work time/days”– The usual time (days of the week, hours in the day) committed to assigned duties.

e) Compensation- compensation for services rendered include, but are not limited to, money, stock, stock options, material gifts, equity interest, other interests of value, and “luxury travel” (i.e. travel expenses in excess to what the State would have paid if the person had traveled as a State employee). Within this policy, compensation does not include royalties covered under Connecticut statutes 10a-110g (Rights as to products of authorship).

f) “a faculty affiliated company” is a company [or other legal entity] in which the faculty member, or a faculty member’s immediate family, has an ownership interest or serves on the board of directors or board of advisors.

5. POLICY

a) All faculty members, with the exception noted under ‘q’ below must receive written permission in advance from their supervisor and the Provost or Executive Vice President for Health Affairs, (whoever has jurisdiction over that member), or their designees, in order to engage in consulting activities.  Requests for such permission will describe the consulting activity, the contracting entity, the dates (or range of dates) that the activity will occur, and the maximum total effort in terms of the faculty members’ normal work days to complete the consulting activity.

b) Permission to consult may only be granted when:

i. The request to perform the consulting activity occurs due to the faculty member’s expertise or prominence in his or her field, not the faculty member’s official State position.

ii. The faculty member is currently, fully performing his/her State duties.

iii. The consulting activity will not interfere with a faculty member’s future ability to perform his/her duties.

iv. The faculty member is not competing with the University for work that may be perceived as being work the University would choose to perform.

v. Those members of a faculty bargaining unit who have specific teaching and/or research responsibilities, the consulting contributes to the continued development of the faculty member’s professional expertise or academic reputation.

c) Approvals must be obtained for each consulting activity. Any on-going consulting activity must be approved on a fiscal year basis (i.e. July 1 – June 30.)

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

e) The faculty member must inform the contracting entity that s/he is not acting as a State employee while performing the consulting activity and is not covered by any State liability protection.

f)  The faculty member may not inappropriately use his/her association with the University in connection with the consulting activity.  That is, members may identify their employee status, but they shall not speak, act, or make representations on behalf of the University or express institutional endorsement in relation to the outside activity. Further, it must be made clear that permission to use the University name, logos, or other identifiable marks may only be granted by the University.

g) Permission to use State resources while consulting must be provided in writing, in advance, and use of such resources must be fully reimbursed to the University of Connecticut.

h) When compensation would be deemed to be a ‘significant financial interest’ as defined in the Policy on Financial Conflicts of Interest in Research, the faculty member must disclose this in financial statements made under that policy.

i) The faculty member must get approval if the faculty member is working for a faculty affiliated company in a paid or unpaid capacity, including as an employee, consultant, or advisor.

j) It is in the University’s best interest to ensure that its faculty does not compete with the University for work it has or is planning to do itself by teaching a course at another institution for compensation. With this understanding, faculty members may request permission to teach elsewhere under the conditions of this policy and as long as the assignment is determined to be beneficial to the interest of the University.

k) All faculty members who were engaged in a consulting activity in a given fiscal year must complete a year end reconciliation report describing all consulting activities for which they have received approval. If the estimates regarding anticipated time spent on each activity and the compensation range provided when requesting permission to consult do not reflect what actually occurred, such information should be revised appropriately.

l) The Provost and the Executive Vice President for Health Affairs will submit annual reports of consulting activities for the faculty members under their respective jurisdictions to the Joint Audit and Compliance Committee of the Board of Trustees.

m) The University’s Office of Audit and Management Advisory Services (AMAS) shall develop and implement a plan of regularly recurring monitoring and audits to ensure the complete and accurate implementation of this policy.

n) A report or allegation of a violation or noncompliance with this policy shall be reviewed by the Provost or Provost designee.  After due process, the Provost may elect to withdraw the authorization or appropriately modify the conditions upon which the authorization to consult is granted so as to resolve any conflict.  Such actions are subject to reversal through relevant appeal procedures including those described in the University’s Bylaws.

o) Failure to comply with the provisions of this policy may result in appropriate disciplinary action, including but not limited to, loss of the privilege to engage in consulting activities or termination from service.  Such disciplinary action will be issued in accordance with the applicable provisions of the collective bargaining agreement or the employment agreement of the faculty member and subject to any appeal rights that may be available.

p) Any faculty member who does not receive prior written approval under this policy is subject to the jurisdiction of the Office of State Ethics.  In addition, the faculty member may be subject to sanctions issued by the University for violating this policy.

q) Faculty paid less than 50% time by the University of Connecticut and/or University of Connecticut Health Center do not need approval to consult.  The requirements described in 5b. ii – iv, 5d-m still apply.[2] Provisions 5b i., 5b v., 5c do not apply.

r) Faculty paid less than 50% time by the University of Connecticut and/or University of Connecticut Health Center may voluntarily elect to request prior approval to consult as described in 5a.  In such cases, all the rules under 5a-n are applicable.[3] Once such a faculty member has requested approval to consult, all subsequent consulting activities in that fiscal year must also obtain such approval.

6. CONFIDENTIAL INFORMATION

Any financial information provided in the consulting request forms or reconciliation reports will be deemed confidential financial information, in accordance with Section 1-210(b) of the Freedom of Information Act, and will not be disclosed to any third party unless the member agrees or a court of competent jurisdiction so orders, or in order to comply with Federal and/or State laws or regulations related to the handling of Federal research grants.


[1] Within this policy, compensation does not include royalties covered under Connecticut statutes 10a-110g.

[2] Per State statute, final jurisdiction whether such consulting is compliant with the State Code of Ethics resides with the Office of State Ethics for such consulting activities.

[3] Per Public Act 07-166 section 12, the University has final jurisdiction to approve such consulting activities.

 

Policy Revisions*: 3/25/2015;4/24/2013; 11/14/2012; 4/13/2011; 4/20/2010; 9/25/2007;  4/10/2007

*Approved by the Board of Trustees.

Code of Conduct

Title: Code of Conduct
Policy Owner: Office of the President
Applies to: Faculty and Staff
Campus Applicability: All Campuses
Effective Date: February 22, 2011
For More Information, Contact Office of University Compliance
Contact Information: (860) 486-2530
Official Website: https://compliance.uconn.edu/

This document serves to guide the daily operations of our University system including:

  • The Storrs campus;
  • Schools of Law and Social Work;
  • Regional campuses throughout the State;
  • UConn Health

Table of Contents

Letter from the President

Ethics Statement

Introduction

Campus-Wide Standards

Education Standards

Research Principles and Standards

Public Engagement and Outreach Standards

Patient Care Standards

Business, Fiscal and Legal Standards

External Relations and University Advancement

Resources, Additional Information, and Reporting

 

 

Letter from the President

Dear Colleagues:

The University of Connecticut is committed to assuring the highest standard of integrity in all aspects of University life and in all University and University-sponsored activities. While this goal is simply stated, its attainment requires concerted effort on the part of all members of the University community, particularly faculty, administrators and staff. Federal, state and local regulations which govern our activities are increasingly complex, and as the University’s activities expand in size, scope and prominence, it is important that all of us understand relevant policies and know what is required in terms of compliance and reporting.

The University of Connecticut Board of Trustees is the body that is ultimately responsible for ensuring full compliance. At the Board’s direction, the University has established a Compliance Program to help in our efforts to adhere to all federal, state and local regulatory requirements. A key ingredient of an effective Compliance Program is the establishment of a Code of Conduct. This Code of Conduct was developed with input from faculty, administrators and staff.

This Code serves to guide the conduct of University activities in support of the University’s mission and is designed to serve three key purposes:

  1. To set the basic standards of workplace behavior that the University expects of all faculty, administrators and staff.
  2. To state publicly the University’s long-term commitment to the highest standards of integrity in education, research,health care, public engagement and service.
  3. To assure that faculty, administrators and staff understand their shared responsibility for keeping the University in full compliance with all applicable laws, regulations and policies.

Please read the Code carefully, and take all steps necessary to apply its standards. The Office of University compliance is responsible for monitoring compliance and serving as a resource for questions and guidance on the Code, and on the University policies and procedures that spell out compliance requirements in greater detail.

A key element in assuring University-wide compliance is a system for reporting potential violations. In an institution this large and active, there may be areas of confusion; regrettably, there may also be instances in which individual behavior does not meet appropriate ethical expectations. Any University employee who observes a possible violation of law, regulation, policy or approved procedure has an obligation to report it. While a key element is reporting inappropriate activity, I want to emphasize that the most important element of any compliance or ethics program is working cooperatively to assure a positive climate of openness and integrity. Great universities function as true communities in which faculty, administrators, staff and students collaborate to achieve common goals. That holds true for instruction, research, public engagement, service and, at the most fundamental level, ethical compliance.

I want to thank you for understanding and adhering to these standards, and for your commitment to the highest level of ethical conduct in fulfillment of our institutional responsibilities.

Sincerely,
Susan Herbst

 

The University of Connecticut Ethics Statement

The standards contained in this Code of Conduct reflect the University of Connecticut’s core values, as they have been articulated over time by generations of faculty, staff, administrators, students and the State of Connecticut. These values are essential and enduring tenets of our organization. A statement of these values, while reiterating concepts already well understood, is helpful in outlining the context in which our Code will operate. Please be advised that violation of the standards in this Code of Conduct may result in appropriate disciplinary measures up to and including dismissal.

Knowledge: Members of the University community value truth, the pursuit of truth, intellectual curiosity and academic freedom. Our faculty and students seek to create new knowledge and are committed to sharing ideas, research findings and the products of intellectual and creative pursuits with the broader community

Honesty: Members of the University community are truthful and sincere in their words and actions and do not intentionally mislead others or provide inaccurate information.

Integrity: Institutional and individual behaviors at the University reflect fundamental moral and ethical values. Our actions are beyond reproach and avoid both the fact and the appearance of impropriety.

Respect: The University honors and respects individuality and demonstrates tolerance for the personal beliefs and cultural differences of all individuals. As members of an academic community, we seek to foster a spirit of civility and collegiality through open and honest communication. We strive to protect the health, safety and well-being of all persons. We protect the private and confidential information that is provided by our patients and research participants, faculty, administrators, staff, students, volunteers and others. We value an environment that is free from harassment, intimidation, bullying, incivility, disrespect and violence.

Professionalism: The University and its members expect that the professional standards and requirements that are applicable to the academic, research, clinical, engagement, administrative and other professions comprising our community will be followed. We are responsible and accountable for our actions and are expected to make reasonable efforts to comply with all applicable federal, state and local government laws and regulations. As individuals and as an institution, we also strive to follow ethical business practices and to act as good stewards of the resources made available to us.

Introduction to the University of Connecticut Code of Conduct

In all its endeavors, the University of Connecticut is dedicated to excellence that is demonstrated through national and international recognition. As Connecticut’s public research, land-grant and sea-grantuniversity, through freedom of academic inquiry and expression, we create and disseminate knowledge by means of scholarly and creative achievements, graduate and professional education, andpublic engagement and service. 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 teaching, research, engagement and service we embrace diversity and cultivate leadership, integrity and engage citizenship in our students, faculty, staff and alumni. As our state’s flagship public 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.

If you are faced with an ethical issue, you should consult this Code of Conduct as well as current University policies and procedures. You are responsible and accountable for addressing your ethical dilemmas. Consultation with your supervisor, other appropriate colleagues, or the Office of University Compliance is appropriate and valued.

The Code of Conduct includes “Questions to Ask Yourself” after each set of Standards. These questions are intended to be thought provoking and assist employees by providing examples of matters that each of us may face during our employment with the University. For guidance regarding individual situations that relate to any of these or other questions, please feel free to contact the Office of University Compliance.

Campus-Wide Standards

The University of Connecticut values all members of its community and recognizes that each person contributes to the overall success of the institution. The University further recognizes that it is through the efforts of its faculty, administrators and staff that it achieves national and international prominence and delivers a world class education to its students. The culture of the University is one of respect, civility, trust, cooperation and collaboration among all its members. We believe all members of the University community are entitled to an environment that ensures collegiality and mutual respect.

Conduct of Faculty, Administrators and Staff

  • Members of the University community shall perform their duties in a fair and ethical manner in accordance with established policies, procedures and regulations.
  • Members of the University community shall carry out their duties with professionalism. The University supports the efforts of its faculty, administrators and staff to achieve and maintain professional standards.
  • The University provides equal opportunity and access to its employment, programs, benefits and services.
  • Supervisors have a particular responsibility to support the Code of Conduct and to demonstrate compliance within their units.
  • Relationships of an inappropriate personal nature between supervisors and those they supervise are prohibited.

Civility

  • The University values an environment that promotes a spirit of civility and collegiality, while fostering open and constructive intellectual debate.
  • All members of the University community have a responsibility to treat each other with consideration and respect. Managers and supervisors have an elevated responsibility to demonstrate these behaviors and support their expression in the workplace.
  • Engaging in behaviors that harass, intimidate, bully, threaten or harm another member of the University community does not support a respectful and civil work environment.

Non-Discrimination

  • The University encourages and respects diversity within the university community and does not allow discrimination on the basis of age, race, national origin, religion, disability, sex, sexual orientation or any other characteristic protected by law in any activity or operation of the institution.

Harassment

  • The University affirms its dedication to foster a community that condemns all forms of discrimination or acts of intolerance including sexual harassment, intimidation and retaliation.

Confidentiality

  • Confidentiality of faculty, staff, patient and student records is respected and maintained in accordance with University policies and procedures, federal laws and state regulations. We use such records for legitimate purposes only and in accordance with proper authorization.

Computer/Telecommunications Use

  • The University’s computer and telecommunication networks are University resources that are provided to employees, students and volunteers to allow them to carry out the functions of the institution. Those who use the computer and telecommunication networks are responsible for the appropriate use of these resources. We understand, support and abide by the policies concerning the ethical and responsible use of computers and electronic information at the University of Connecticut.

Regulatory Compliance

  • The University of Connecticut Office of University Compliance strives to ensure that we meet the highest possible standards where relevant federal, state and local regulations, laws and guidelines are concerned. This office supports ethical conduct by all faculty, administrators and staff and requires ongoing monitoring of policies, procedures and practices. Education is a key component of this program.

Health and Safety

  • We are responsible for complying with all workplace safety and health regulations and will report unsafe conditions, equipment or practices to appropriate University officials, as required by law.

Conflict of Interest

  • We, as employees of the State of Connecticut, adhere to the guidelines set forth in the Connecticut Code of Ethics for Public Officials, as well as the University’s Guide to the State Code of Ethics.
  • We will not engage in outside activities which will create an actual conflict of interest and will strive to avoid the appearance of a conflict. If faced with a potential conflict of interest, members of the university community shall disclose the nature of the conflict to the appropriate parties.
  • We do not accept gifts, including food and beverage, from vendors, lobbyists or any other person or entity that is doing business with or seeking to do business with the University unless permitted under the Connecticut Code of Ethics for Public Officials.
  • We do not accept secondary employment that will impair our independence of judgment as to our official duties or which will require us to disclose confidential information.
  • We will not use our state positions for personal financial gain beyond our official compensation, or for the financial benefit of our family members or domestic partners.
  • We will not use state resources for personal use or for use unrelated to our University responsibilities.

Questions to Ask Yourself

  • Have I treated others as they wish to be treated?
  • Do I make discriminatory and harassing statements?
  • Have I used my position to intimidate or isolate others?
  • As a faculty member or staff member, should I accept a gift from a student?
  • Do I frequently use my university telephone for personal phone calls?
  • Do I use my contacts at the University to help my outside business?
  • Do my outside professional activities create an appearance of a conflict of interest?
  • Do I maintain appropriate professional relationships with students, colleagues, patients, clients and customers?
  • Have I used my position to gain employment for a family member?
  • Even if I have access to certain records, do I have the authority to view them and/or distribute them to others?
  • Do I know what to do if I think that a University record have been accessed inappropriately by someone inside or outside the University?
  • Do I take shortcuts that create a safety hazard?

Education Standards

The University of Connecticut recognizes education as one of its primary missions and strives to maintain a professional environment conducive to the development of its students. To that end, the University believes that the purposes of an educational institution are best served by attracting and developing scholars of proven professional and personal competence and integrity and by assuring those teachers and scholars freedom to expand human knowledge and understanding.

  • We educate students from a wide range of backgrounds and respect differences in each individual’s heritage and goals.
  • We respect the individual choices that students make for career paths.
  • We respect each student as a valuable individual regardless of age, race, color, nationality, ethnicity, ancestry, marital status, gender, disability, religion, sexual orientation or personal beliefs.
  • We acknowledge and support students’ rights to question faculty members, the administration and staff in good faith.
  • We comply with all applicable statutes and regulations.

Student conduct is governed by the applicable codes of conduct and professional standards of conduct adopted by their schools. While this Code applies primarily to faculty, administrators and staff, its underlying principles are, however, common to codes and regulations governing students.

Athletics

The Division of Athletics operates a broad-based program of intercollegiate athletics and recreational and intramural opportunities that reflect the ethical philosophy of the University, the interest of the student body and the desires of the University’s internal and external constituencies.

  • We offer student-athletes the opportunity to excel in academic achievement and athletic accomplishments.
  • We foster among our students a sense of citizenship, leadership and social responsibility and encourage adherence to the highest standards of integrity and ethics.
  • We promote principles of good sportsmanship, honesty and fiscal responsibility in compliance with University, state, National Collegiate Athletic Association (NCAA) and conference regulations.
  • We promote and support the University’s comprehensive commitment to diversity and equity, providing equitable opportunity for all students and staff, including women and members of minority groups.

Questions to Ask Yourself

  • Do I foster an environment that is conducive to learning?
  • Am I providing each student an equal opportunity to learn?
  • Do I react negatively when students challenge or critique my interpretation of source material?
  • Do I protect the privacy of each student’s academic record and personal information?
  • Are my grading practices fair and understood by all of my students?
  • Do I regularly update my teaching materials?
  • Am I a role model for my students regarding professional values?
  • Do I acknowledge and support providing student athletes equitable and appropriate opportunities to excel in academic achievement?

Research Principles and Standards

The University of Connecticut is committed to the highest standards of professional conduct and integrity in research. These standards include honesty, trustworthiness, objectivity, accountability, openness, respect and fairness when dealing with other people, a sense of responsibility towards others and loyalty to the ethical principles espoused by our institution.

The University expects these standards to be maintained by all academic, research and relevant support staff, students and their supervisors and other individuals conducting research or involved in the peer review process within or on behalf of the University. Prompt reporting to the appropriate institutional administrative committees of violations of human subjects’ protection, laboratory safety, or humane treatment of animals is expected.

We understand that academic freedom is essential to creating an atmosphere in which scholarship flourishes. Promotion of intellectual freedom is consistent with assuring a climate of integrity and the University has the right and the obligation to inquire into all instances of alleged or apparent misconduct in scholarly activities.

Scholarly Integrity

  • We properly collect, record and maintain research data.
  • We take responsibility for all publications and presentations of which we are author or co-author.
  • We appropriately acknowledge, in publications and presentations, those who have contributed to our research.
  • We grant access to our research data to co-investigators involved in generating the data.
  • We grant reasonable access to our research equipment and resources to other University investigators involved in research.
  • We, the University and its faculty, administrators and staff, do not interfere with the research conducted by students or faculty.
  • We do not tolerate plagiarism, falsification, or fabrication of research data, or other scientific misconduct.

Human Research

  • We abide by all federal and state laws and regulations, in addition to the University’s policies and procedures, when performing studies involving human subjects.
  • We respect human research participants and are committed to their safety.
  • We protect human subjects by securing institutional review and approval for any research.
  • We adhere to approved protocols and obtain prospective institutional approval of any changes in those protocols.
  • We engage all human subjects, or their appropriate representatives, before initiating a research protocol, in a meaningful informed consent process including explanations of possible risks and benefits.
  • We allow potential or current participants to withdraw from a study at any time without prejudice.
  • We notify human subjects in a timely fashion of any serious adverse events associated with a human subjects study.
  • We conduct appropriate education and training before initiating a human subjects study.

Animal Research

  • We abide by all federal and state laws and regulations, in addition to the University’s policies and procedures, regarding the care, transport, maintenance and use of animals.
  • We are committed to the humane treatment of animals in research.
  • We protect research animals by securing appropriate institutional review and approval for any research.
  • We adhere to approved protocols and obtain prospective institutional approval of any changes in those protocols.
  • We conduct appropriate education and training before initiating animal research.

Laboratory Safety

  • We abide by all federal and state laws and regulations, in addition to the University’s policies and procedures, concerning laboratory safety.
  • We seek prior approval of appropriate University committees when research involves hazardous chemical substances, bio-hazardous materials or radioactive materials.
  • We properly document, store, handle, transport and dispose of radioactive, bio-hazardous and hazardous chemical materials, pharmaceuticals and investigative drugs.
  • We participate in appropriate education and training before initiating studies involving such materials.
  • We comply with all workplace safety and health regulations and will report unsafe conditions, equipment or practices to our supervisors or other appropriate University officials.
  • We attend required instructional and training sessions when dictated by funding or oversight agencies.

Research Support

  • We use research funds only for their designated purposes.
  • We accurately account for time and effort related to research funding.
  • We disclose financial conflicts of interest to University administrators and, as appropriate, manage such conflicts in accordance with existing policies and procedures.
  • We properly acknowledge sponsorship of research in our publications and presentations.

We disclose inventions produced from our research to the University so that consideration is given to the protection of intellectual property.

Questions to Ask Yourself

  • Do I work safely in the lab?
  • Have I received training and approval to use research materials?
  • Have I collected data and documented my research accurately?
  • Did I face a conflict of interest today? Does it bias my research?
  • Do I protect the safety and well-being of my human or animal subjects?
  • Did I obtain proper consent from my human subjects?
  • Do I respect the privacy of research participants? Do I appropriately protect the confidentiality of their research data?

Public Engagement and Outreach Standards

The primary purpose of public engagement is to serve external constituents in a manner that leads to enhanced teaching and research. Public engagement efforts impact on the reputation of the University. Engaged scholarship, as a component of public engagement, results from public engagement and outreach. It focuses on those activities that promote advanced understanding and creative works in a mutually beneficial manner. Public engagement, which includes outreach and public service, consists of all activities where the University offers its resources, both human and physical, to external constituencies in such a manner where there is a partnership or that engaged scholarship results. These efforts are on behalf of the public good and not for private gain. The term University resource refers to those activities and entities that the University makes available to its various constituencies which may involve a cost to access.

As a land and sea grant university, the University of Connecticut is committed to our mission that includes public engagement as measured by the impact of teaching and research on the world outside of the insitution. In the spirit of true partnership, we seek to expand our interactions with groups beyond our campuses in areas of mutual concern and enhance their access to the resources available at the University. In addition to collaborations in the arts and humanities, we encourage constructive partnerships in new areas of interdisciplinary excellence, such as Health and Human Behavior, the Environment, and Human Rights. Through broadened access and reciprocal interaction, we realize synergistic outcomes that further strengthen the University and benefit the people of Connecticut as well as those beyond the state borders.

  • We believe the reputation of the University is tied to its responsiveness to the needs of the citizens and communities of the State.
  • We reach out to and engage communities in reciprocal partnerships.
  • We are respectful of our community members, demonstrate cultural competence in their interactions, and comply with University policies while engaged in and with communities, just as we would on campus.
  • We strive for responsible engaged scholarship and community-based programs to the benefit of communities by involving our partners in the planning, execution, and dissemination of the knowledge gained by such programs.
  • We translate and disseminate research results to real world applications to address problems.
  • We recognize and respect the knowledge and behaviors of our partners as we work in a collaborative environment.
  • We effectively communicate these standards and values with the organization.
  • We actively engage students in community experiences as part of our service learning priority.

Practical Considerations for Public Engagement and Outreach Principles and Standards

  • Have I ensured that the public engagement effort is consistent with the University’s mission and vision?
  • How do I solicit input regarding community needs when designing, planning, and conducting my engaged scholarship or community-based project?
  • How can I work with community members as equal and collaborative partners in all phases of the project, from planning to dissemination of findings, and avoid the perception of using the group for my gain?
  • How do I handle the findings of my work to ensure confidentiality when appropriate?
  • Am I culturally sensitive to the diverse needs of community members and partners, starting with the selection and training of my University team members?
  • How can I prioritize considerations of diversity when designing, planning, and conducting my community-based research or program, identify any barriers to participation, and work to ameliorate or eliminate such barriers?
  • How will my actions reflect how the University is viewed in the community?
  • How do I manage, use and share resources of the University in a manner that is respectful to partners?
  • How do I teach and engage my students in the work of the community as they apply classroom learning to real world situations?

Patient Care Standards

Clinicians associated with the UConn Health, Storrs and regional campuses and other University health care facilities provide compassionate primary and specialty health care in an academic environment. We focus on delivering quality patient care and fostering continuous improvement through scientific knowledge that is shared with patients, colleagues and the public.

  • We, each faculty and staff member involved in patient-related activities, are expected to understand and support the applicable Patient’s Bill of Rights and Responsibilities.
  • We strive to deliver health care that is based on contemporary scientific knowledge and technology.
  • We provide educational resources and opportunity for consultations with other health care programs to assist our patients in the planning of their treatment.
  • We strive to consider the physical, emotional and spiritual needs of our patients in making our treatment recommendations.
  • We do not extend or receive payments or benefits in exchange for referrals. Our health care and referrals are based on the well-being of and best treatment for our patients.
  • Patients have a right to ask members of their health care team about the role of students and residents in their care and to receive complete and accurate information.We explain to our patients the importance of the educational mission at the University as it relates to their treatment.
  • We provide our patients with information necessary to make informed health care decisions. This includes reviewing medical findings with each patient, as well as discussing alternative treatment options and the associated risks and benefits.
  • We prepare clear, honest and accurate patient medical documentation in a timely manner. We maintain the confidentiality of this information in accordance with existing University policies and procedures, federal laws and state regulations, including but not limited to the Health Information Portability and Accountability Act (HIPAA).
  • We provide clinical facilities and laboratories to support quality care for our patients. We adhere to appropriate policies and procedures to ensure that we retain certification in all aspects of program function as required by institutional, state and federal regulatory agencies.

Questions to Ask Yourself

  • Do I demonstrate respect and compassion for my patients and their families?
  • Was the care that I provided today in the best interest of my patients?
  • Did I answer my patients’ questions to the best of my ability or assist them in obtaining the information they requested?
  • Do I offer all of the needed resources and services to my patients or assist them in making a referral to obtain those services?
  • Do I respect the privacy of my patients and protect the confidentiality of their health information?
  • Did I document my patient care thoroughly and accurately today?

Business, Fiscal and Legal Standards

The University of Connecticut adheres to established business standards in its conduct as an institution of higher education and as a health care provider. We comply with all applicable federal, state and local government laws and regulations and strive to follow ethical business practice standards. We endeavor to conduct all University business with honesty, integrity, accuracy and fairness.

Contracts

  • We strive to make all purchasing decisions based on the best interests of and value to the University. The University follows fair business practices in its contracting.
  • We recognize the value of obtaining competitive bids when appropriate, maintaining independence, ascertaining the financial and legal status of vendors and obtaining clear written agreements for services or goods to be purchased.
  • We comply with all state guidelines regarding procurement activities. We comply with all laws relating to pricing, competition and business arrangements.

Proprietary information

  • In the course of doing business, the University creates and receives information that could directly affect the success of its business ventures or those of its current or prospective business partners. If used inappropriately, this information could unduly benefit individuals who have access to such information. The University depends on the ethical business practices and personal integrity of its employees to protect this information from premature or improper use and disclosure.

Physical property and intellectual property, including data

  • The University’s physical property includes property that is owned by the University but entrusted to individuals or organizational units within the University. Examples include office and departmental equipment and supplies, vehicles, facilities, cash, reports and records, including clinical and billing records in department offices, computer software, electronic files and data, patents, trademarks and service marks.
  • We utilize such resources properly and protect property against loss, theft, misuse and waste.
  • Research materials, inventions or devices developed through the use of University resources are the property of the University. Rights to such property may be transferred to other parties (such as commercial sponsors) only with express written authorization. Materials subject to copyright are generally not the property of the University.
  • Research data are considered the property of the principal investigator or the joint property of collaborating individuals when research data are generated by a principal investigator working in collaboration with one or more faculty colleagues. Research data generated by postdoctoral fellows, graduate students, research trainees or others who have had significant intellectual input, shall be considered the joint property of the collaborating individuals.
  • The use of any form of intellectual property covered by copyright and license agreements and used for face-to-face, distance teaching purposes or a combination of the two, will comply with copyright law and the terms of the license agreement under which it was obtained. Examples include books, journal articles, newspapers, images, audio, and video in physical or electronic form owned or borrowed by the University or the instructor.

Financial Records and Funding Sources

  • We understand that the federal and state governments constitute major funding sources for the University in student financial aid, research and other areas. As such, we acknowledge responsibility for the stewardship of such funds, understanding and complying with federal and state laws and regulations.
  • We maintain accurate and timely financial records in accordance with the University’s policies and Generally Accepted Accounting Principles. We use appropriate internal financial controls to safeguard assets and to ensure compliance with all internal and external accounting rules and regulations. We cooperate fully with internal and external auditors and regulatory agencies during examinations of all books and records and do not alter or destroy any documents in anticipation of such reviews.
  • We, as employees of the University, accurately account for our time and properly document when seeking reimbursement for work-related expenses.
  • We charge and bill for patient care services in accordance with third party regulations and applicable state and federal laws. We bill for medically appropriate services that are clearly and accurately documented in the medical record. We submit claims for services in a timely manner. We maintain accurate patient accounts and promptly correct billing errors.
  • We acknowledge that clinical care providers, coding personnel and billing staff have a collective responsibility to understand the third party regulations and federal and state laws governing the services they are providing.

Questions to Ask Yourself

  • Did I document my work clearly, honestly and accurately?
  • When I sign a document do I understand what I am signing?
  • Do I understand when the competitive bidding process must be used?
  • Have I signed a contract without obtaining proper authorization?
  • Am I wasteful of university supplies?
  • Was I honest with my coding of patient visits today?
  • Do I share my computer password with others?

External Relations and University Advancement

Government relations and political activity

  • We depend, as a public institution, upon the support and trust of federal and state officials.
  • We will not make representations on behalf of the University without official authorization.
  • We do not engage in partisan political activities while on state time nor will we use University resources for the purposes of influencing a political election.
  • We adhere to federal and state laws which provide guidance for the political activities of the University employees.

Public access to University information

  • We facilitate accurate, ethical and timely news coverage of significant programs and the achievements of faculty, administrators, staff, students and alumni.
  • We comply with all federal and state laws and regulations as well as all University polices regarding the release of information about activities of the University, or its employees, students, volunteers, patients or research subjects, carefully balancing privacy rights with the public’s interest.

University Advancement

  • We recognize that the process of raising charitable funds requires ethical and sensitive interactions with prospective and current donors. Although we may release general information about alumni or other supporters, we respect an individual donor’s intent and honor all requests for anonymity.
  • We recognize that the primary responsibility for development of prospective donors lies with the University of Connecticut Foundation. The Foundation staff works in cooperation with offices and departments across the University but which is organizationally independent of the University itself.

Media Relations

  • We acknowledge that University Communications is the University’s primary and official liaisons to the news media – international, national, regional, state and local – and that this department is responsible for initiating, developing and maintaining effective, productive and beneficial relations with the news media in communicating University news and in responding to media requests.
  • We respect the individual freedom of faculty, staff and administrators to express their personal opinions on University actions and policies, while also recognizing that University Communications is responsible for coordinating official University comment on all matters regarding the institution.
  • We understand that the University encourages its faculty, staff and administrators to serve as members of community panels, boards, civic organizations, professional associations and other similar voluntary associations. An employee assuming such a role is not acting as a spokesperson of the University.

Graphic Standards

  • We recognize that University Communications is responsible for establishing and maintaining the University’s graphic standards and that specific standards apply to the use of the University’s logos and seals.
  • We understand that the University has legal rights regarding the use of its name, logos and seals and protected trademarks.

Questions to Ask Yourself

  • Have I referred media requests to University Communications?
  • Should I talk “off the record” to a reporter?
  • When is it appropriate to talk to the media about my research or to comment on the research of others?
  • Should I speak on behalf of the University to government officials regarding University mattersCan I be identified as a University employee in my political or charitable activities?
  • Do I maintain clear boundaries between my professional role and my personal activities that are unrelated to the University?

Resources, Additional Information and Reporting

The University has established the Office of University Compliance and Office of Audit & Management Advisory Services to oversee its internal audit and compliance programs and to ensure compliance with applicable laws, regulations, policies and procedures.

Obtaining Additional Information, Reporting Compliance Concerns and Non-retaliation Policy

  • For additional information please refer to the appropriate website or contact the office at the phone numbers or email addresses noted below. If you wish to report suspected violations of laws, regulations, rules, policies, procedures, ethics or any other information you feel uncomfortable reporting to your supervisor or faculty administrator you may also contact the Office of University Compliance directly using the phone numbers or email addresses listed below.
Storrs and Regional Campuses:

Website: https://compliance.uconn.edu/
Phone: (860) 486-2530

Fax: (860) 486-4527

UConn Health:

Website: https://compliance.uconn.edu/ 
Phone: (860) 679-1969

  • If you wish to report a concern or a suspected violation anonymously you may contact the University’s REPORTLINE using the contact information below. The REPORTLINE is operated by a private (non-University) company. No effort is made to identify the person reporting and no trace of the call is performed. Information received is given to the Compliance Officer for appropriate action. This service is available 24 hours a day, 7 days a week and is staffed by independent specialists trained to obtain complete and accurate information in a confidential manner. If you wish, you may obtain information about the Compliance Office response to your call by following up with the REPORTLINE at a later date. To contact the REPORTLINE:
Storrs and Regional Campuses Phone: 1-888-685-2637 UConn Health Phone: 1-888-685-2637
Web reporting address: https://www.compliance-helpline.com/uconncares.jsp

Other Reporting Options

  • State Auditors of Public Accounts

The Whistle Blower Act, Section 4-61dd of the Connecticut General Statutes, authorizes the Auditors of Public Accounts to receive information concerning matters involving corruption, unethical practices, violation of State laws or regulations, mismanagement, gross waste of funds, abuse of authority or danger to the public safety occurring in any State department or agency. Upon receiving such information the Auditors are required to review such matter and report their findings and any recommendations to the Attorney General.The Auditors shall not, after receipt of any information from a person under the provisions of this section, disclose the identity of such person without his/her consent unless the Auditors determine that such disclosure is unavoidable during the course of the review. You can file a complaint with the Auditors of Public Accounts by calling (860) 566-1435 or toll free at (800) 797-1702. Website: https://www.cga.ct.gov/apa/

  • Federal False Claims Act (31 U.S.C. § 3729-3733)

This act permits a person with knowledge of fraud against the federal government to file a lawsuit on behalf of the government against those that committed the fraud. The person filing the lawsuit is also known as the “whistleblower” or “qui tam” plaintiff. The “qui tam” plaintiff must notify the United States Department of Justice (DOJ) of all information regarding the fraud. If the DOJ takes the case and fraud is proven the “qui tam” plaintiff is entitled to a portion of the money recovered by the federal government. Under the False Claims Act the “qui tam” plaintiff is protected from retaliation that may result from his or her involvement in the case. This is known as Whistleblower Protection.

 

Non-Retaliation

  • University policy prohibits retaliation if you report in good faith a compliance concern to any supervisor, faculty, administrator, the Compliance Office, the REPORTLINE orany appropriate agency outside of the University. If you feel that you have been subject to retaliation, you should contact the Compliance Office immediately. The Compliance Office will respond to all reports in a timely manner in order to resolve any non-compliance and to educate regarding compliance concerns.

 

Policy Created*: April 11, 2006

Policy Revisions*: 2/22/2011

*Approved by the Board of Trustees.