Employment

Review Process for Deans

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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

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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

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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

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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

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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

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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

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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:

Posted on by
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

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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.

Records Management Policy

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

Background and Purpose of the Policy

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

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

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

Definitions

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

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

The following are examples of “Non-Records”:

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

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

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

Policy Statement

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