Employment

Faculty Professional Responsibilities, Policy on

Title: Faculty Professional Responsibilities, Policy on
Policy Owner: Office of the Provost
Applies to: Faculty
Campus Applicability: All Campuses, including UConn Health
Effective Date: March 29, 2011
For More Information, Contact Office of the Provost
Contact Information: (860) 486-4037
Official Website: http://provost.uconn.edu/

Preamble:

Introduction: The Mission Statement of the University of Connecticut provides that it is the public flagship of higher education and the sole doctoral degree granting public institution in the state of Connecticut.  The University serves as a center for research, dedicated to excellence in higher education, and fulfillment of its land grant status.  The University is committed to meeting the educational needs of its undergraduate, graduate, professional and continuing education students, and gives its faculty the means to employ and develop their intellectual capacity through teaching, research and interaction with society.  Through the integration of teaching, research, and service, the faculty provide an outstanding educational experience for each student.  The University serves the state and its citizens in a manner that enhances the social, cultural, and economic well being of its communities.  It gives leadership in the pursuit and dissemination of knowledge to all its constituents, recognizing that the continual creation and transmission of knowledge and lifelong learning are essential to Connecticut’s future in a global context.

A research university: In furtherance of the University’s Mission Statement and its By-Laws, faculty members are expected to produce specific evidence of strong performance in both scholarship (in the form of research, other intellectual contributions and artistic activities) and teaching.  In addition, service and outreach activities are valued and expected of all faculty members.  The faculty consists of accomplished scholars who bring their skills and ways of thinking to their interactions with undergraduate and graduate students and the community at large.  The education of students in a research university goes beyond the formal acquisition of knowledge and the critical assessment of that knowledge to include skills and training in the methods of generating knowledge.  In a public research university, the State invests in making education in these advanced skills available to any of its citizens who have the requisite abilities and motivation to take advantage of it.  The purpose is to foster and build upon proven insightful methods for creating new knowledge so that future generations will have the ability and means to meet any challenges that confront them.  To accomplish this task, faculty have the multidimensional responsibility of conducting research, of teaching, advising, and mentoring undergraduate and graduate students, and of undertaking service and outreach activities.

As scholars, the faculty is charged to conduct research, to enhance understanding and, in a public research university, help to improve the lives of citizens.  The ability of researchers to accomplish these tasks is what must be passed on to each new generation of students.  Teaching of students by accomplished faculty who are doing “cutting-edge” research underlies the excitement and potential of a research university.  The conduct of research is fundamental to teaching and provides the foundation as well as the milieu of discovery for education in a research university.  The conduct of teaching is a fundamental charge from the public to educate the citizens of the State, to pass on the skills and methods of generating knowledge.  It is also fundamental in affecting how a great deal of research is actually accomplished, through the active participation of graduate and undergraduate students in the conduct of that research as part of their education.

A research university has the added charge of educating advanced students, producing researchers and other graduates with Masters and doctoral degrees.  At the graduate level, large amounts of time are spent in one-on-one development and critiques of students’ thinking, writing, and research methods and the implementation of those methods.  The training of future researchers by faculty is inherently personal and time-consuming but is one of the basic responsibilities of faculty at a research university.  Each graduate student represents a significant commitment, both in time and effort.  Such time commitments are an investment in creating an educated professional who, in turn, will affect the lives of future students and the future of society.

The teaching mission of a research university has a unique emphasis upon communicating skills and training in the methods of generating knowledge.  Education of this kind is often apprenticeship in nature, by necessity.  Students learn through engagement in activities that call upon their creative and problem-solving skills.  These kinds of research activities are fundamental to graduate education.  At the undergraduate level, research opportunities are available for students with ability and motivation.  Usually, the best students seek them out.  A challenge to the contemporary research university is to bring this level of involvement to a broader range of students, and it is one of the University’s goals in its Strategic Plan.  Because of the flexibility required within an academic unit to meet the unique constraints of teaching undergraduate and graduate students in a research environment, the University of Connecticut Chapter of the American Association of University Professors (AAUP) chooses to delegate the complexity of workload policy to university practice.

The interaction of research and teaching: In a research university, research and teaching are intertwined.  Research, including externally grant-funded research, frequently involves teaching and includes the active participation of students.  This participation is entirely appropriate because part of the teaching responsibility of faculty is to educate graduate and undergraduate students in the conduct of research and, more broadly, the communication of methods of discovery for the creation of new knowledge.  The one-on-one or one-on-few apprenticeship education that takes place in the research environment focuses directly at this level.  Various disciplines extend this kind of education to some or most of their undergraduate majors.  More broadly, much classroom teaching includes consideration of how knowledge is generated (how the knowledge being studied was created, what theoretical influences affected the creation of that knowledge, etc.) in addition to the transmission of information and the critical assessment of that information.

The perspective of researchers who are accomplished critical thinkers and problem-solvers informs teaching in a research university.  The researcher as teacher possesses the perspective of having identified research questions, formulated strategies for possible solutions, and assessed the quality and efficacy of those solutions.  This perspective can be brought to bear even in a classroom of many students and should affect the nature of classroom presentations, discussions, or other interactive experiences.  Some significant part, at least, of the educational experience of those who attend a research university’s undergraduate programs should bear this special stamp.

General Policy:

Overall responsibilities: The faculty constitute a community of scholars.  The vitality of that community arises not just from individual continuing scholarly achievement, but depends as well upon the quality and quantity of collegial interactions and contributions to the mission of that community.  Individually, faculty members are expected to engage in research and other scholarly activities, to teach, and to perform service.  The typical mix of activities of faculty members varies from one academic unit to another.

As a member of a scholarly community, every faculty member is expected to contribute to the shared responsibilities that support the varied educational mission at the department, college/school, and university level.  These responsibilities are clearly set forth in Article XV.L.1. of the University Bylaws, which states, “While members of the professional staff of this University are employed for a variety of duties, as a general rule the University will expect to assign to each full-time member of the professional staff duties which are reasonable and consistent with good and effective teaching practices at both the undergraduate and graduate levels.  In conjunction with this, staff members will be expected to carry a reasonable amount of ordinary departmental duties and routine committee responsibilities and to undertake those activities of self-improvement and professional development which are part of every faculty member’s investment in his or her own future.  Such assigned responsibilities as unusually heavy loads of student counseling, the chairmanship of committees that are unusually time-consuming, research projects which have been designated as a part of the staff member’s assigned load, unusually heavy enrollments in courses, and assigned administrative duties will be considered in determining the number of contact hours assigned to any individual.”   In furtherance of these Bylaws’ professional staff loads provisions, individual faculty member’s responsibilities are determined in consultation with the department head, or dean in a non-departmental structure, and are based on the academic unit’s workload guidelines.  These guidelines recognize discipline-specific standards that ensure that individuals fulfill all facets of the responsibilities of a faculty member in a research university.

On occasion, some specific faculty responsibilities may be defined in an individual letter of appointment (e.g., appointment of a faculty member to be a director of a center), or the individual faculty member may be given a joint appointment. These special circumstances will govern the activity of that faculty member within the context of relevant general guidelines.

Research and other creative activities: Each faculty member is expected to be actively engaged in, and to contribute to, the intellectual life of that member’s department, discipline, and profession.  All faculty members must demonstrate professional competence in their field of specialization, be current in that discipline’s method and subject matter, and make a substantial contribution to the advancement of knowledge in that field, as well as the global community of scholars.  (See the By-Laws, Article XV.J.)  All faculty members are expected to achieve a working balance between the maintenance of creative inquiry in their disciplines (or, where appropriate, the creative production of artistic works), spending effective time with students, and participating in various service activities.  Researchers, for example, are expected to keep abreast of the relevant literature in their field and to contribute to it, to communicate basic and/or applied scholarship to their peers on a continuing basis, and to engage in activities that stimulate their own productive and insightful thinking (e.g., conference presentations and commentary; active participation in academic/professional societies).  The dissemination of the fruits of new research and/or new ways of thinking about problems to both students and colleagues is another way in which research, teaching, and learning are inherently intertwined.

Teaching:  Faculty are expected to show satisfactory attainment and continuous growth in “…Teaching ability and performance, beginning with the capacity to excite interest and evoke response in students, to broaden their outlook, to impart knowledge, to see and convey relationships, to encourage the faculty of criticism, and to stimulate a sense of inquiry.”  (See By-Laws, Article XV.J.)  Faculty must also continually reappraise the content of what they teach: as the nature of teaching changes, especially in an era where instructional technology offers an incredible range of new approaches, faculty development and faculty involvement in curriculum reform is crucial and time-consuming.  The amount of teaching varies for individual faculty across departments as a function of the kind of research and outreach/service involved in particular disciplines.  All academic disciplines are characterized by research/scholarly-based teaching that involves teaching both in the classroom and in the research environment (e.g., laboratory, field sites, library).  The difference for a research university, where faculty must give significant effort to conducting the research/scholarship that is the foundation of their teaching, is that faculty typically teach fewer formal courses per semester than in institutions of higher education that have different missions.  Additionally, particularly at the graduate student level at a research university, more emphasis is put upon interactions with individual students as a means of instruction.  The criteria for setting classroom-based teaching courseloads are, of necessity, discipline-specific across institutions.  Such variation in classroom-based teaching and in the criteria for setting such teaching loads is crucial if a research university is to remain competitive in the national and international arena in attracting and retaining accomplished professors.

Service:  Faculty are expected to demonstrate “…Willingness and ability to assist in the various types of service which a state university renders, in the answering of inquiries, the giving of advice, the conduct of surveys, and the like.”  (By-Laws, Article XV.J.) The service provided by faculty may vary by department and take many different forms.  “Standard service” may be given internally within the institution and/or externally to both the profession and to the local, state, and national communities.  Internal service may include: chairing or serving on standing departmental, college/school, or University committees; advising students or serving as a faculty advisor to student organizations; writing letters of recommendation for undergraduate and graduate students; and supervising various department activities.  External service to the profession may include: reviewing research article submissions to professional journals; serving as editors of, or editorial consultants to, professional journals; reviewing research grant proposals for federal and other granting agencies; serving on committees of national or international academic/professional societies; and reviewing promotion and tenure cases for faculty at other institutions.  Other external service and outreach to the local, state, national and international communities may include: the provision of training, and/or technical or professional assistance for various constituencies, such as government officials and agencies, business firms, non-profit organizations, and the general public; community building efforts involving interactions with external constituency members; teaching of non-credit courses; providing self-improvement services for members of the public; and disseminating scientific knowledge to the media.  In some instances, a faculty member may be hired or his/her position may be defined to be primarily concerned with outreach.

Assessment of Activity:

Most faculty have embraced a professional model of work effort that far exceeds what is commonly regarded as a work week.  Assessment of faculty activity in this kind of environment must meet the challenge of encouraging and sustaining the fundamental self-motivated striving that supports a continuing high level of professional performance.  Ideally, the academic community exercises strong peer support and encouragement to all of its members to engage in that high level of effort and performance.  In any case, assessment must measure scholarly achievements according to discipline-related standards, while also measuring the effectiveness of the many aspects of teaching that occur at a research university, as well as service activities.  Additionally, assessment of activity must also identify colleagues whose level of performance has lessened relative to unit norms to the extent that a change in the distribution of their responsibilities may be appropriate.  The department head, or dean in a non-departmental structure, has the responsibility to make such changes to maintain full involvement of all department faculty in accomplishing the mission of the academic unit.

Criteria and procedures exist that govern the events of reappointment, promotion, and tenure.  As an integral part of these latter events, external review of the activity of candidates for tenure and/or promotion is undertaken by excellent faculty at other institutions.  In addition, all academic departments and non-departmentalized schools should have explicit criteria formulated by the departmental faculty for the assessment of meritorious performance.  Assessment procedures should also exist with respect to what is expected of the faculty in their discipline across institutions and be reviewed on an annual basis.  The policy of having systematic university academic external review of academic departments serves to calibrate these criteria by reference to cross-institutional practices.

The following is a description of the assessment of activity process:

(1) Department heads, and deans in non-departmental schools, with appropriate input from the faculty and the advice of regional campus associate vice chancellors, are charged with setting an appropriate distribution of responsibilities for individual faculty that reflects that member’s particular strengths, the nature of his/her obligation to the University, and the needs of the academic unit.

According to the Bylaws of the University, responsibility for the “assignment of duties will be made by the appropriate deans, directors and department heads.” (Article XV. L.)  Further, “It is the duty of each department head to conduct a continuing appraisal of the work and potentialities of the people in the department…” (Article XV.J.4)

As changes occur in an individual faculty member’s research productivity, teaching and the level of self-motivated, independent interactions with graduate and/or undergraduate students, or the level of service, adjustments in the other areas of responsibility will occur.  Such adjustments in the responsibilities for a faculty member may be appropriate to maintain fairness with respect to the distribution of responsibilities across the members of a department.  The ability of faculty to make such adjustments, to engage in all aspects of the tri-partite mission of the University, is guaranteed by the tenure process that requires excellence in both research and teaching, as well as appropriate contributions to service, as criteria for the granting of tenure.

An explicit part of the university academic external review should address the appropriateness of the unit’s research productivity, its teaching load, and its service contributions.  This external review should also address the comparability of these measures with respect to those of similar units in other research universities, and the extent to which faculty responsibilities are being adjusted appropriately within the unit at the University of Connecticut.

(2) Annual meetings will be held between the department head (or dean in a non-departmentalized school) and individual faculty, in the spirit of the University Laws and By-Laws quoted above. (Article XV.J.4.b. & L.1.)These meetings should serve to enhance the overall activities of the department as well as interdisciplinary research/scholarship, where appropriate. The department head will review and discuss the faculty member’s productivity and present and future professional activities.  The department head and faculty member should also discuss any problems encountered by the faculty member in the performance of his/her duties.  For regional campus faculty, similar meetings should occur with the appropriate regional Associate Vice Chancellor, as well as with the department head.  Any adjustments in a regional campus faculty member’s activities must be made in concert with the faculty member’s department head.

These meetings may also be used, where appropriate, to accomplish, in consultation with the faculty member, proportional adjustments to the faculty member’s responsibilities.  These annual assessments of a faculty member’s activity can include consideration of various measures commensurate with the unique constraints of creative endeavors or original research/scholarship.  Such adjustments may be appropriate during a faculty member’s career and are an essential component in maintaining a department’s and the University’s overall effectiveness.

(3) The successful implementation of the process of systematic review and adjustment of faculty responsibilities within departments is primarily the responsibility of the department head or dean of a non-departmentalized school.

However, deans of departmentalized colleges/schools should meet annually with his/her department heads/program directors to discuss the implementation of departmental policies on professional responsibilities and to insure equitable practice across departments.

Review Process for Deans

Title: Review Process for Deans
Policy Owner: Office of the Provost
Applies to: Others
Campus Applicability:
Effective Date:  January 2, 2004
For More Information, Contact Office of the Provost
Contact Information: (860) 486-4037
Official Website: http://provost.uconn.edu/

Application: This process applies to Deans, and not their direct reports, although Deans may choose to use this process for their direct reports.

Timing: As is true for all senior administrators, Deans are routinely subject to formal review every five years.  This review normally occurs at the beginning of the fifth year of a five-year appointment.  Deans may be appointed for multiple subsequent five-year terms, with formal reviews occurring every five years.

Process Oversight: The Provost shall be responsible for the review of the Deans.  The Provost may delegate the supervisory function for carrying out reviews to a direct report.

Review Procedure:

 

  • Review Committee. To carry out each formal review of a Dean, a Review Committee chaired by another Dean shall gather information and report it to the Provost.  In addition to the Chair, each Review Committee shall be comprised of approximately six individuals: two chosen directly by the Provost, two elected by the college/school faculty in a fashion approved jointly by the Provost and the administrative governing body of the college/school, one chosen by the Provost from a list submitted by the University Senate Executive Committee, and one selected by the Provost from a list submitted by the Dean under review.
  • Review Process. The Chair of the Review Committee shall carry out the administrator review process.  This process shall include the following components:
  1. Receipt of a statement and report of accomplishment from the Dean
  2. Dissemination of a confidential survey and solicitation of written comments from college/school faculty and staff, and relevant university and external constituencies, with compilation of the results
  3. Conduct by Committee members of interviews with relevant individuals, including direct reports such as department heads, external constituencies, students, and such faculty and staff as the Review Committee deems appropriate
  4. Other information agreed upon between the Review Committee and the Provost
  • Review Outcome
  1. The Review Committee shall serve as a fact-finding and advisory committee to the Provost.  At the conclusion of the review process, it shall meet with the Provost to report its findings.
  2. The final decision on reappointment of a Dean resides with the Provost.

Athletics Employee Handbook

Title: Athletics Employee Handbook
Policy Owner: Division of Athletics
Applies to: Athletics Staff
Campus Applicability:  Storrs
Effective Date: August 2016
For More Information, Contact Division of Athletics
Contact Information: (860) 486-2725
Official Website: http://www.uconnhuskies.com/

 

The Division of Athletics Employee Handbook is currently being revised. Please check back soon for updates. Any questions pertaining to the handbook may be directed to Cheryl Bertora at (860) 486-2725 or Dan Gilinski at (860) 486-2050.

Assignment of Textbooks and Other Intellectual Property

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

Background and reasons for the Policy:

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

Purpose of Policy:

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

Expected Institutional Outcome:

Compliance with the Code of Ethics

Applicability of Policy:

All Faculty

Policy Statement:

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

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

Responsibilities:

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

Policy Implementation Guidelines:

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

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

Academic Course Work Taken by Faculty or Non-Teaching Professionals

Title: Academic Course Work Taken by Faculty or Non-Teaching Professionals
Policy Owner: Provost & Office of Faculty and Staff Labor Relations
Applies to: Faculty, Staff
Campus Applicability: Storrs and branch campuses
Effective Date: September 25, 2014
For More Information, Contact Office of Faculty and Staff Labor Relations
Contact Information: (860) 486-5684
Official Website: http://www.lr.uconn.edu/

Background and reasons for the Policy:

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

Purpose of Policy:

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

Expected Institutional Outcome:

To support uninterrupted delivery of programs, instruction and services.

Applicability of Policy:

Faculty and Non-Teaching Professionals.

Policy Statement:

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

Responsibilities:

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

Policy History

Supersedes version of policy effective 06/23/2008

Violence in the Workplace Prevention, Policy on

Title: Violence in the Workplace Prevention, Policy on
Policy Owner: Office of Faculty and Staff Labor Relations
Applies to: Faculty, Staff, Others
Campus Applicability:  Storrs and Regional Campuses
Effective Date: January 2, 2004
For More Information, Contact Labor Relations
Contact Information: (860) 486-5684
Official Website: http://www.lr.uconn.edu/

 

Background and reasons for the policy: The safety and security of all employees is of primary importance to   the University of Connecticut.  On August 4, 1999, the Governor of the State of Connecticut issued an executive order establishing a zero tolerance policy for workplace violence for all state agencies and public universities.

Workplace Violence is defined by this executive order as:

“Any physical assault, threatening behavior, or verbal abuse occurring in the work setting. It includes, but is not limited to, beatings, stabbings, suicides, rapes, near suicides, psychological traumas, such as threats, obscene phone calls, an intimidating presence and harassment of any nature such as being followed, sworn, or shouted at.”

This policy governs all University employees, persons who are permitted to work on University premises, at satellite locations or at University sponsored off-site events. This policy also governs persons operating state vehicles under the control of the University.  The entire Governor’s policy and related definitions are accessible via the following links:

The executive order: http://www.ct.gov/opm/lib/opm/olr/wpv/exc16.pdf

The Workplace Violence Prevention Manual:

http://www.ct.gov/opm/cwp/view.asp?a=2992&q=383254

Purpose of Policy: The University of Connecticut is committed to providing a workplace that is conducive to a safe and healthy environment supportive of our educational mission. This policy communicates the meaning of “workplace violence”, defines prohibited conduct and establishes potential consequences for violations. Additional resources are cited to provide direction on how to report incidents and offer sources of assistance and support to those impacted by workplace violence.

Expected Institutional Outcome: This policy will provide the University’s faculty, staff, students, contracted employees, visitors, vendors, volunteers and guests with an appropriately safe and healthy work environment, free from intimidation, harassment, threats and/or violent acts.

Applicability of Policy: This policy applies to all University of Connecticut employees and contractors.

Policy Statement: The University of Connecticut takes any act of violence seriously. The prevention of workplace violence is everyone’s responsibility. It is expected that University employees will maintain a workplace atmosphere of mutual respect and civility.

No person covered by this policy may engage in conduct intended to threaten, intimidate or harass a University employee. No person covered by this policy may possess a weapon or dangerous instrument while on any University worksite unless required to do so as a component of their job.  No person covered by this policy may use, attempt to use, or threaten to use a weapon or dangerous instrument. No person covered by this policy may cause or threaten to cause death or physical injury to any individual while at a University worksite.

Individuals who make threats, commit acts of violence or engage in other conduct defined as workplace violence, will be subject to appropriate disciplinary action up to and including dismissal as well as criminal prosecution if indicated.

Reporting Suspected Violations: Any act or incident that fits the definition of workplace violence outlined in this policy which occurs on the campus or at off-site locations under the University’s auspices or creates a risk to anyone at these sites must be reported immediately.  All employees are responsible for notifying the administration of any threats that they witness or receive.  Even without a specific threat, all employees should report any behavior that may be regarded as potentially threatening or violent or that could endanger the health and safety of others.

For more detailed instructions and resources regarding the University’s Workplace Violence Policy please contact the Office of Faculty and Staff Labor Relations at 860-486-5684.

University Event Ticket Use

Title: University Event Ticket Use
Policy Owner: Office of the President
Applies to: Faculty, Staff
Campus Applicability: All Campuses, except UConn Health
Effective Date: June 22, 2011
For More Information, Contact Office of the President
Contact Information: (860) 486-2337
Official Website: http://president.uconn.edu/

 

Policy Objective:
Certain University employees and senior administrators are provided with University event tickets as part of their employment agreements.  Employees may also be eligible to purchase University event tickets because of their employment.  In general, such tickets are provided or available for purchase as a means to promote and encourage University personnel to participate in various University functions and events. This privilege has been extended with the expectation that such tickets will be for the personal or business-related use of University employees and, while these tickets are the personal property of the individuals receiving them, they are a valuable resource and are not intended as a means for employees to derive additional personal income from third parties.  This does not apply to tickets purchased or obtained by an employee in a manner that is open to the public.

Policy Statement:
Any University Department that provides season tickets to a University employee as part of that employee’s taxable employment compensation must provide the Office of the President with a list of all such employees.  These tickets are for the personal or university business-related use of the employee and may not be exchanged for other consideration.  This prohibits selling, bartering, trading or otherwise transferring tickets to another for anything of value and includes tickets for athletic, cultural and performing arts events.  Employees may not enter into any outside endorsement or consulting agreement that contains a provision or understanding regarding the exchange of event tickets.  Each department shall submit its list to the Office of the President prior to the start of the season and include the name of the employee and the number of tickets provided.

Employees who are eligible to purchase tickets because of their employment, rather than receive them as taxable employment compensation, are similarly prohibited from exchanging such tickets for other consideration.  However, employees who purchase such tickets may sell these tickets for no more than their purchase price.

Notwithstanding the above, personal event tickets may be donated to a charitable organization to be used for fundraising purposes (i.e., auction, raffle, etc.) provided that any donation of athletic event tickets receives the prior review and approval of the NCAA compliance office of the Division of Athletics.

NCAA Rules Committee

Division of Athletics Employees are prohibited by NCAA rules (NCAA Bylaw 13.8.1) from leaving event tickets at will-call or providing tickets directly or indirectly to:

  1. prospective or current student-athletes, their parents, relatives or friends;
  2. high school, two-year college or club coaches, their parents, relatives or friends; or
  3. sports agents, advisors, runners or individuals associated with sports agents or firms.

For further information and the complete text of NCAA Bylaw 13.8.1, please refer to the NCAA Division I Manual.

Special Payroll Policy

Title: Special Payroll Policy
Policy Owner: Board of Trustees
Applies to: Faculty, Staff, Students
Campus Applicability:  Storrs and Regional Campuses
Effective Date: December 7, 2007
For More Information, Contact Human Resources
Contact Information: (860) 486-3034
Official Website: http://www.hr.uconn.edu/

Background and reasons for the policy:  The University of Connecticut requires the use of project based, seasonal, durational as well as temporary professional personnel to meet University staffing needs such as instructional and research support, athletic and theatrical program activities, limited assignment managerial support as well as support for grant and research projects and community organizations engaged in activities with the University.

Purpose: To clarify the statutory framework within which the University hires such staff and to provide appropriate guidelines for the use of such services.

Expected Institutional Outcome: This policy will support statutorily compliant access to instiutionally necessary staffing resources and expedite staffing of project based, seasonal, durational and temporary professional assignments.

Applicability of Policy: This policy applies to the hiring of project based, seasonal, durational and temporary professional personnel services at the Storrs and regional campuses.  Positions appropriate to established collective bargaining units are not to be placed on the Special Payroll.

Policy Statement: Pursuant to CGS 10a-20 and 10a-108, authorized hiring officers may appoint temporary, short term, project based, seasonal, durational and professional staff to meet staffing needs associated with university programs and activities.  Appointees to the Special Payroll do not receive benefits, although professional employees hired pursuant to CGS 10a-20 may purchase medical coverage at group rates under CGS 5-259c.  Positions appropriate to established collective bargaining units are not to be placed on the Special Payroll.

 

Approved by the Board of Trustees: December 7, 2007

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.

 

 

 

Responding to Requests for University Information, Policy on

Title: Responding to Requests for University Information, Policy on
Policy Owner: Information Technology Services
Applies to: Faculty, Staff
Campus Applicability:
Effective Date: October 22, 2007
For More Information, Contact Assistant VP for IT Security, Policy & Quality Assurance
Contact Information: (860) 486-4357
Official Website: https://its.uconn.edu/

Background and Reason for the Policy:

The University of Connecticut views University data, in all its forms and throughout its life cycle, as an asset of the University.  As an asset, University data must be protected to meet both Federal and State laws such as:

  • the Family Rights and Privacy Act (FERPA),
  • the Health Insurance Portability and Accountability Act (HIPAA),
  • the Electronic Communications Privacy Act (ECPA),
  • the Gramm-Leach-Bliley Act and
  • the Freedom of Information Action (FOIA),

as well as to comply with the policies of the institution.

However, many employees may not understand all of the confidentiality rules for the data to which they have access.  In addition, there has not been a clear protocol for dealing with requests for University data.

Purpose of Policy:

This policy is intended to direct employees of the University of Connecticut to whom requests for information may be made.

Expected Institutional Outcome: It is expected that this policy will provide the University community with a protocol for handling internal and external requests for University data.

Definitions:

  • Data Classification Policy:  See Data Classification Policy
  • Data Custodian: The entity/entities or office/offices that is/are delegated with the day-to-day operational-level responsibility of performing management functions for a defined portion of University data (i.e. specific administrative data sets) based on the definitions, procedures and guidelines developed by the Data Steward.
  • University Data:  Any recorded data or information relating to the University’s business prepared, owned, used, received, or retained by the University and its employees and agents, whether such data or information is handwritten, typed, tape-recorded, printed, photostatted, photographed or recorded by any other method.
  • External Requests: External requests are those made by individuals, agencies, groups or other entities outside of the University or by University members not acting in their official University capacity.
  • Internal Requests:  Internal requests are those made by a University office, a University employee, or a student.
  • Legitimate Business Purpose: A University Official has a Legitimate Business Purpose if the disclosure is relevant and necessary in the ordinary course of the requestor’s official duties and is related to the purpose for which the information was acquired.  Any University official who needs University Data in the course of performing instructional, supervisory, advisory, or administrative duties for the University has a Legitimate Business Purpose.
  • Official University Webpages: Official University of Connecticut webpages are those that have been created by the University, its campuses, colleges, schools, departments or other administrative unit, for University business.  Official University webpages clearly convey a relationship to the entire University and support and advance the University’s mission.
  • Publicly-Available:  Any information that is either published on one of the Official University webpages, the Undergraduate or Graduate Catalog, or other official University publication.
  • Non-publicly Available: Information that the employee gains by reason of employment with the University and that he/she knows or reasonably should know has not been made available to the general public.
  • University Official: A University Official is a University employee, administrator, officer, staff, professional, and any other individual who has been authorized by the University to act on behalf of the University.

Statement of Policy:

1. Internal Requests for Information:

  • Employees are permitted to disclose Publicly-Available University Data or to disclose Non-Publicly Available Data to a University Official with a Legitimate Business Purpose.  Employees may release information regarding individual student to that individual student.  All other requests should be referred as indicated below.
  • Requests for individual law student educational information or for lists of individual Law School student educational information should be referred to the Law School.
  • Requests for individual medical or dental student educational information or for lists of individual Medical School or Dental School student educational information should be referred to the University of Connecticut School of Medicine or School of Dentistry, respectively.
  • Requests for individual graduate student educational information by anyone other than the individual student, or for lists of individual graduate student educational information, should be referred to the Graduate School.
  • All other requests for student educational information by anyone other than the individual student, or for lists of individual student educational information, should be referred to the Registrar’s office.
  • Requests for individual employee personnel information by anyone other than the individual employee, or for lists of individual employee personnel information, should be referred to the Human Resources office.
  • Requests for summary University information should be referred to the Office of Institutional Research.
  • Requests for information concerning University purchases and procurement contracts should be referred to the Purchasing Department.
  • Requests for information on funded research should be referred to the Office of Sponsored Programs.
  • Requests for financial University data should be directed to the Chief Financial Officer.
  • Requests for information concerning University facilities should be directed to the Chief Operating Officer.
  • Requests for all other University Data should be directed to the appropriate Data Custodian.

2. External Requests for Information:

  • All external disclosures of University Data not defined as Publicly Available must comply with federal and state laws, as well as University policies.  University employees are only permitted to disclose University data to an external individual or entity that is Publicly Available except when permission has been given by those individuals whose information is being requested or under the exceptions listed below.
  • All requests for information from the news media should contact the Office of University Communications/University Relations, which will coordinate the response.
  • All requests for educational records concerning individuals other than oneself should be forwarded to the appropriate office:

–     University of Connecticut School of Medicine or School of Dentistry for records involving medical or dental students;

–    Law School for records involving law school students;

–    Registrar’s Office for records involving undergraduate or graduate students.

  • All requests for Student Employment Verifications and Student Job References should be directed to the Student Employment Office.
  • All requests for External Job References should be directed to Human Resources.
  • All court orders, subpoenas, warrants, or other legal instruments should be immediately forwarded to the Office of the Attorney General.
  • All other external requests for such information must be made in writing and referred to the University’s Privacy Officer.
  • A log of all external requests for information will be maintained by those offices that respond to such requests.

3. Exceptions:

  • Offices and employees who are responsible for regularly supplying the public with information pursuant to inquiries or requests need only refer the request to the University’s Privacy Office or the Attorney General’s office if the information is not usually communicated through that office or employee, or if the office or employee is unsure of the propriety of releasing the information.
  • Responses to questionnaires and surveys that require the provision of University aggregated data that has not been published should be directed to the Office of Institutional Research (OIR).  Each year, the OIR publishes statistical information which contain official University data and which is available from the OIR website.  Employees receiving such requests should use this published information as a primary source of information for completing questionnaires and surveys before sending them to the OIR for review.
  • If a request for information can be answered in its entirety from publicly-available information, the information may be provided by an employee or office.

Responsibilities:

The President, and/or their designee(s), has overall responsibility for implementation and enforcement of this policy.

Review of this policy by the President and/or their designee(s) will occur biennially.

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