Others

Restrictions of Publication Rights and Foreign Nationals in Sponsored Research Contracts

Posted on by
Title: Restrictions of Publication Rights and Foreign Nationals in Sponsored Research Contracts
Policy Owner: Vice President for Research and Graduate Faculty Council Executive Committee
Applies to: Faculty, Staff, Students, Others
Campus Applicability:
Effective Date:  April 6, 2004
For More Information, Contact Sponsored Program Services
Contact Information:  (860) 486-3619
Official Website: https://ovpr.uconn.edu/services/sps/proposals/

 

 

INTRODUCTION

This policy outlines the conditions under which UConn can accept restrictions on publication rights and foreign nationals in sponsored research contracts.  This policy is necessary because federal export control regulations (including International Traffic in Arms Regulations – ITAR) severely restricts all publication by PIs and carries severe sanctions.  Under these regulations federal agencies can withhold the right to publish, including a thesis.  Accordingly, the policy’s goal is to safeguard graduate students’ progress towards graduation while allowing them to gain valuable experience working on such sponsored research projects.

KEY ELEMENTS OF THE POLICY

A grant with restrictions on foreign nationals and publication rights can be accepted only if the following conditions are met:

1)      The Principal Investigator (P.I.) must show that graduate students will not be employed on the project for more than 6 months.  This determination will be made on a case-by-case basis and is not automatic.  Six months is the maximum appointment to be considered.  Furthermore, in the future similar work should be done by a technician or post-doc.

2)      The student must understand that the work cannot be part of his/her thesis because of the restrictions.  In addition, it is important that the student or post-doc understands that he/she cannot discuss the research with others in the lab and cannot allow anyone (besides the P.I.) access to the research data.   This information will be conveyed to each student and post-doc in a letter provided by the P.I.

3)      The P.I. must outline procedures to guarantee in writing that no other employee in the lab will have access to the data.  The PI must also guarantee that the work and resulting data will not be discussed in group meetings.

4)      The P.I., as well as each graduate student and post-doc, must sign the statements described in Sections 2 and 3 of this Policy.  OSP must get a signed copy of each statement before funds are released.

5)      The P.I. must be informed by OSP that the consequences of federal oversight on contracts with these restrictions can be severe, both for the individual and the institution.  The procedures outlined in this Policy are designed to protect him/her.

6)      The Associate Vice Provost may meet with the affected graduate student to ensure that he/she understands the Policy.

Providing Information in Alternative Formats, Policy on

Posted on by
Title: Providing Information in Alternative Formats, Policy on
Policy Owner: Office of Institutional Equity
Applies to: Workforce Members, Students, Others
Campus Applicability: All Campuses, including UConn Health
Approval Date: August 20, 2024
Effective Date: August 21, 2024
For More Information, Contact Office of Institutional Equity
Contact Information: equity@uconn.edu
(860) 486-2943
Official Website: https://accessibility.uconn.edu/

PURPOSE

The University of Connecticut, including the School of Law, Regional Campuses, and UConn Health, is committed to ensuring effective communication to all individuals, including those with disabilities in compliance with the Americans with Disability Act and its Amendments (2008) as well as Section 504 of the Rehabilitation Act of 1973.  This policy looks to address the needs of persons with disabilities who require access to University materials in alternative formats.

DEFINITIONS

University Workforce Members: Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for the University, is under the direct control of the University, whether or not they are paid by the University.

POLICY STATEMENT

The University engages in an interactive process with each person making a request for accommodations and reviews requests on an individualized, case-by-case basis.  In keeping with these standards, the University requires that:

  • Printed materials be made available in alternative formats upon request. Printed materials include, but are not limited to, departmental/program brochures, announcements of events and activities, newsletters, exams, applications, forms, and any other printed information made available to the public.
  • Films and videos promoting departmental and program information, or related items acquired by a department or program, be closed captioned;
  • Departments and programs that sponsor public speakers, conferences, information sessions, or public performances provide qualified interpreters for people with hearing disabilities and printed materials in alternate formats upon request;
  • Departments and programs establish procedures to respond to requests in a timely fashion and promptly notify the Center for Students with Disabilities (CSD) of student accommodation requests, and the Office of Institutional Equity (OIE) of employee accommodation requests.
  • Departments and/or organizations should plan accordingly to use normal budgetary channels to provide assistive technology or alternative formats

ENFORCEMENT

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

PROCEDURES/FORMS

Persons requesting materials in alternative formats, captioning for video and/or live speakers, or other assistive technology should submit their request to the appropriate entity at the University for review.  The designees are as follows:

Student Requests:

Students, including students enrolled at the School of Law, School of Social Work, School of Medicine, and School of Dental Medicine, should contact the Center for Students with Disabilities at their earliest convenience.  Students will be assigned a Disability Services Professional to assist them with their educational access throughout their time at the University.  More information on CSD and its process can be found here: csd.uconn.edu.

Contact:

Center for Students with Disabilities
Wilbur Cross Building, Room 204
233 Glenbrook Rd. Unit 4174
Storrs, CT 06269-4174
Phone: 860-486-2020
Video Phone: 860-553-3243
Email: csd@uconn.edu

Workforce Requests:

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

UConn ADA Compliance & Accommodations
UConn Health ADA Compliance & Accommodations

Contact UConn:

ADA Accommodations Case Manager

Allyn Larabee Brown Building

9 Walters Ave Depot Campus – Unit 5075

Storrs, CT 06269-5075

Phone: (860) 486-2598

Email: tiffanie.roback@uconn.edu

 Contact UConn Health:

ADA Case Manager

16 Munson Road, 5th Floor

Farmington, CT 06032

Phone: (860) 679-2426

Email:  moreland@uchc.edu

 

The University’s Interim ADA Coordinator is:

Sarah Chipman
Interim Associate Vice President, Interim Equal Employment Opportunity Officer, Interim ADA Coordinator, Director of Equity Response and Education, Deputy Title IX Coordinator
Office of Institutional Equity
Storrs: Wood Hall, First Floor
UConn Health: Munson Road, Third Floor
sarah.chipman@uconn.edu
(860) 486-2943

All other requests should be made directly to the facilitator or organizer of the program in question.  This information can often be found on the event’s website or other promotional materials.  Event organizers should make every effort to accommodate requests as needed and should work to promote accessible design within their program.  This can include producing large print programs, hiring captioning services or utilizing high contrast materials.

POLICY HISTORY

Revisions:
07/28/2015
08/20/2024 (Approved by the Senior Policy Council and President)

                               

Non-Retaliation Policy

Posted on by
Title: Non-Retaliation Policy
Policy Owner: Office of the President
Applies to: Faculty, Staff, Students, Contractors and Affiliated Persons
Campus Applicability: All Campuses, including UConn Health
Effective Date: October 22, 2012
For More Information, Contact Office of University Compliance
Contact Information: (860) 486-2530
Official Website: http://president.uconn.edu/

PURPOSE

To define how the University provides for the protection of any person or group within its community from retaliation who, in good faith, participates in investigations or reports alleged violations of policies, laws, rules or regulations applicable to the University of Connecticut.

POLICY STATEMENT

The University encourages individuals to bring forward information and/or complaints about violations of state or federal law, University policy, rules, or regulations.  Retaliation against any individual who, in good faith, reports and/or participates in the investigation of alleged violations, or who assists others in making such a report, is strictly forbidden.  This policy does not protect an individual who knowingly files a report or provides information as part of an investigation that is false or is filed in bad faith. The University will take appropriate action, up to and including dismissal, against any employee, student, or affiliated person who violates this policy.

DEFINITIONS

Retaliation: Any adverse action taken, or threatened against an individual because they have, in good faith, reported an allegation concerning the violation of state or federal law, University policy, rule, or regulation, or because they have participated in any manner with an investigation of such an allegation, or in an effort to deter an individual from doing so.

Examples of actions that may constitute retaliation include, but are not limited to:

  • unsubstantiated adverse performance evaluations or disciplinary action;
  • adverse decisions relating to the terms or conditions of employment or education;
  • interference with or denial of promotion or advancement opportunities (whether employment-related or academic);
  • reduction in a student’s grade;
  • interference with or denial of participation in University programs or activities;
  • unfounded negative job references or interfering with one’s job search;
  • denial or removal of co-authorship on a publication;
  • repeated intimidation or humiliation, derogatory or insulting remarks, or social isolation which may occur indirectly or directly from co-workers and/or a supervisor;
  • physical threats and/or destruction of personal or state property

Any action taken or threatened that would dissuade a reasonable person from engaging in activities protected by this policy may also be considered retaliatory.

Good Faith Report: A report made with an honest and reasonable belief that a university-related violation of law or policy may have occurred.

Bad Faith Report: A report made that is knowingly false and/or made with malicious intent.

Protected Activities: Good faith reporting, whether internally or externally, or inquiring about suspected wrongful or unlawful activity; assisting others in making such a report; and/or participating in an investigation or proceeding related to suspected wrongful or unlawful activity.

 

REPORTING PROCESS

If an individual believes that they have been subjected to retaliation, they should either contact the office to which the initial complaint was filed or any of the following University offices:

Storrs & Regional Campuses UConn Health
The Office of University Compliance
28 Professional Park, Unit 5084
Storrs, CT  06269-5084
Telephone: (860) 486-2530
Reportline: 1-888-685-2637Website: https://compliance.uconn.edu		 The Office of University Compliance
Administrative Services Building
263 Farmington Avenue
Farmington, CT 06030-5329
Telephone: (860) 679-1969
Reportline: 1-888-685-2637Website: https://compliance.uconn.edu
The Office of Institutional Equity (OIE)
241 Glenbrook Road
Wood Hall, Unit 4175
Storrs, CT  06269-4175
Telephone: (860) 486-2943
Email: equity@uconn.edu
OIE’s Discrimination Complaint Procedures:
https://equity.uconn.edu/policiesprocedures/		 The Office of Institutional Equity (OIE)
Munson Building
263 Farmington Avenue
Farmington, CT 06030-5130
Telephone: (860) 679-3563
Fax: (860) 679-3805
Email: equity@uconn.edu
OIE’s Discrimination Complaint Procedures: https://equity.uconn.edu/policiesprocedures/
Office of Faculty & Staff Labor Relations
9 Walters Avenue, Unit 5075
Storrs, CT  06269-5075
Telephone: (860) 486-5684
Website: https://hr.uconn.edu/employee-relations/ 		 Employee/Labor Relations
Munson Building
263 Farmington Avenue
Farmington, CT 06030 – 4035
Telephone: 860-679-8067
Website: https://health.uconn.edu/human-resources/services/employee-labor-relations/
University of Connecticut Police Department
126 North Eagleville Road, Unit 3070
Storrs, CT  06269-3070
Telephone: (860) 486-4800
Website: https://publicsafety.uconn.edu/police/		 University of Connecticut Police Department
263 Farmington Avenue
Farmington, CT 06030 – 3925
Telephone:  860-486-4800
Website: https://publicsafety.uconn.edu/police

Any individual who is covered by a collective bargaining contract are also encouraged to contact their union:

Union Contact Information
The American Association of University Professors (AAUP), University of Connecticut Chapter Telephone: (860) 487-0450

Website: http://www.uconnaaup.org/contact/
The University of Connecticut Professional Employees Association (UCPEA) Telephone: (860) 487-0850

Website: http://ucpea.ct.aft.org/
Maintenance and Service Unit,
Connecticut Employees Union Independent (CEUI)		 Telephone: (860) 344-0311

Website: https://www.ceui.org/
Administrative Clerical Unit – American Federation of State, County and Municipal Employees (AFSCME) Telephone: (860) 224-4000

Website: https://www.afscme.org/
Connecticut Police and Fire Union Telephone: (860) 953-2626

Website: https://cpfu.org/
Social and Human Services Unit – American Federation of State, County and Municipal Employees (AFSCME) Telephone: (860) 224-4000

Website: https://www.afscme.org/
Administrative and Residual Employees Union (A&R) Telephone: (860) 953-1316
Website: http://andr.ct.aft.org/
New England Health Care Employees Union – District 1199 Telephone: (860) 549-1199

Website: http://www.seiu1199ne.org/
University Health Professionals (UHP) Telephone: (860) 676-8444

Website: http://uhp3837.ct.aft.org/

Nothing in this policy shall be deemed to diminish the rights, privileges or remedies of a University (State) employee under other federal or state law or under any collective bargaining agreement or employment contract.

 

ADDITIONAL RESOURCES

In addition to the resources above, the following offices may be helpful to University employees and students who believe they are experiencing retaliation.

Employee Assistant Program

Website: https://hr.uconn.edu/employee-assistance-program/

University Ombuds

Website: https://ombuds.uconn.edu/

Office of the Dean of Students

Website: https://dos.uconn.edu/

UConn Cultural Centers

Website: https://provost.uconn.edu/cultural-centers-programs/

Office for Diversity and Inclusion:

Website: https://diversity.uconn.edu/

 

POLICY HISTORY

Policy created:  09/22/2009

Revisions:

10/22/2012 (Non-substantive revisions)

05/03/2021 (Approved by President’s Cabinet)

Financial Aid Code of Conduct

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

 

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

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

Policy History

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

Undergraduate Education Field Trip Policy

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

 

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

I. PURPOSE

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

II. REFERENCES

A. Student Code of the University of Connecticut

B. University Policies and Collective Bargaining Agreements

III. DEFINITIONS

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

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

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

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

IV. GUIDELINES

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

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

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

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

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

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

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

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

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

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

V. SANCTIONS

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

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

VI. VEHICLE USE

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

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

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

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

Employment and Contracting for Service of Relatives, Policy on

Posted on by
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.

POLICY HISTORY

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

Electronic (E-mail) Communication Policy

Posted on by
Title: Electronic (E-mail) Communication Policy
Policy Owner: Information Technology Services
Applies to: Faculty, Staff, Affiliates and Student Employees
Campus Applicability: Storrs and Regionals, except UConn Health
Approval Date: August 30, 2023
Effective Date: October 1, 2023
For More Information, Contact: UConn Information Technology Services
Contact Information: techsupport@uconn.edu
Official Website: https://its.uconn.edu

DEFINITIONS

University Provided Email Services – University-provided email services refers to the email accounts and related services that educational institutions offer to their students, faculty, and staff. These email services can be hosted on the University’s servers or in the cloud and come with an email address in the form of username@uconn.edu

PURPOSE

This policy applies to all uses and users of University provided email services, including faculty, staff, volunteers, contractors and affiliates. The purpose of this policy is to describe the permitted and appropriate use of University provided email to ensure compliance with relevant laws, regulations and policies, including those concerning the retention and protection of emails and attendant data.

POLICY STATEMENT

The University provides email services to support activities associated with academic, administrative, research and philanthropic functions in support of its overall mission. The University recognizes and has established email as an official means of communication. All faculty and staff are provided a UCONN.EDU email account which is the official address to which the University will send email communications. All communications related to University functions shall use the University provided email services to ensure compliance with University policies and regulatory compliance.

Individual Users are expected to read in a timely manner all official University email messages sent to their University email address.

University email services are provided solely for the purpose of conducting University business and are subject to all applicable University policies including the Code of Conduct as well as state and  federal laws.  Occasional use of email services for personal, non-University related purposes is allowed but subject to the Code of Conduct.

University email accounts and information sent via University email services are the property of the University.  As a public institution, with limited exceptions, virtually all University records, including email communications, are subject to laws governing public records.  Because University email accounts are University property, the University has the right to access such accounts for legitimate business purposes as may be required and/or authorized by appropriate parties.  This includes but is not limited to access necessary to respond to requests made pursuant to the Connecticut Freedom of Information Act (FOIA), the Family Educational Rights and Privacy Act (FERPA),and/or subpoenas. Individuals are prohibited from directly accessing the email accounts of others unless they are authorized to do so for University business purposes.

Users of University email services are responsible for safeguarding the privacy and security of information sent electronically in accordance with applicable laws and policies. Automated copying or forwarding of email from University accounts to non-University accounts is prohibited. Any user who moves a copy of email sent to a University email account to a non-University email account expressly assumes personal responsibility for the security and privacy of that email and any information contained therein.  Moving a University email into a non-University account may subject the non-University account to review in response to a subpoena, FOIA request or other legal process.

RELATED UNIVERSITY POLICIES

Code of Conduct

Electronic Privacy and Disclaimer Notice

FERPA Policy

General Rules of Conduct

Records Management Policy

University Guide to the State Code of Ethics

POLICY HISTORY

Policy adopted: November 14, 2003

Revisions:
June 1, 2005
June 19, 2007
March 13, 2015
August 30, 2023 (Approved by the Senior Policy Council and the President)

Health and Safety Policy

Posted on by
Title: Health and Safety Policy
Policy Owner: Department of Environmental Health and Safety
Applies to: Faculty, Staff, Students, Others
Campus Applicability: UConn Storrs, Regionals, and the Law School
Effective Date: April 27, 2023
For More Information, Contact Department of Environmental Health and Safety
Contact Information: (860) 486-3613 or ehs@uconn.edu
Official Website: http://www.ehs.uconn.edu/

PURPOSE

The University of Connecticut is committed to providing a safe and healthful environment for all activities under the jurisdiction of the University.  Accordingly, the University has developed this top level over-arching health and safety policy to outline responsibilities and establish the framework of compliance with all applicable Federal, State and local regulations and University policies and procedures pertaining to worker safety and public health.* Compliance with this policy along with subordinate health and safety policies, programs and procedures linked at the end of this policy document is mandatory.

APPLIES TO

This policy applies to all faculty, staff, students, researchers, and all other individuals working at the University of Connecticut Storrs, regional campuses and the Law School.

POLICY STATEMENT

The health and safety of all faculty, staff, students and visitors shall be a principal consideration in the planning and conduct of all University activities and programs, and in the design, construction, modification, or renovation of all University buildings and facilities.

This broad policy requires that health and safety regulations of Federal, State and local authorities, appropriate consensus standards of recognized organizations, and University specific policies are met.

ENFORCEMENT

Violations of this policy including, subordinate health and safety policies, programs or procedures may result in disciplinary measures in accordance with University Laws and By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Code.

RESPONSIBILITIES

Individuals – Safety is the responsibility of each and every person at the University of Connecticut. All members of the University community are individually and collectively the owners of safety and share the responsibility to provide and maintain a safe environment.  Each individual is expected to comply with health and safety regulations and University policies, programs and procedures; perform work in a safe and sensible manner and to act to ensure the health and safety of self, coworkers, fellow students and all others at the University.

Individuals working for the University (employees) are required within five days of employment, transfer or job change to discuss potential hazards that they may encounter during the course of their employment with their supervisor.  That discussion shall include identification of workplace hazards along with required controls, personal protective equipment (PPE) and requisite safety training.  Completion and submission of an employee specific Employee Safety Training Assessment defines required safety training.  Individuals are responsible to comply with defined controls, wear the appropriate PPE and attend requisite safety training in a timely manner.

Principal Investigators/Unit Managers – All personnel who assign and/or oversee work are responsible to ensure that compliant work controls and procedures consistent with Federal, State and local regulations and University policies are implemented to provide for the protection of all personnel and to safeguard the environment.   PIs/Unit Managers in consultation with EHS shall respond in a timely manner to address safety complaints, non-compliances and mitigate potentially unsafe conditions.  PIs/Unit Managers should set, by example, high standards for health and safety. These standards must be consistently applied and appropriate action taken when personnel fail to meet them.

PIs/Unit Managers (supervisors) are responsible to identify hazards in the work environment along with required controls and PPE using the Workplace Hazard Assessment (WHA) form. The WHA must be kept current and reviewed regularly.

The WHA and the ESTA are generic tools that must be used by the PI/Unit Manager (or designee) to document review of hazards in the workplace along with appropriate controls, PPE and safety training.  The ESTA must be completed with the employee within five days of their arrival, transfer or job change.  Failure to complete an ESTA or to ensure that employees attend the required training may result in disciplinary action.

Deans, Directors, and Department Heads – Each Dean, Director, and Department Head is charged to ensure organizational compliance with regulations and University policies and with maintaining a healthful and safe environment for all personnel.  They are expected to take appropriate action to ensure all identified hazards are addressed and identified issues of non-compliance corrected in a timely manner.

Updates are requested from each Dean, Department Head and Director to the Building and Emergency Contact Listing (BEC List) to ensure the timely and effective communication of information to assigned contacts within each building, regarding emergencies, incidents, projects, and other activities that may impact the health and safety of building occupants.

The Department of Environmental Health and Safety (EHS) – EHS is charged by the University with implementing all University health and safety policies and procedures* in the Biological, Chemical, Occupational, Public Health, Environmental, and Radiation health and safety fields. EHS has been authorized by, and is accountable to, the University President and Senior University Management to identify, assess and enforce this Health and Safety policy and subordinate health and safety regulations, policies, and procedures.

EHS is responsible for maintaining a comprehensive program that combines training, consultation, control, and inspection to protect the health and safety of all personnel in the course of University sanctioned activities.  EHS staff provides professional services to measure and evaluate hazards to which the University community may be exposed and ensure compliance with regulations and University policies.  EHS’s responsibilities include:

  • Ensure that all written policies, procedures, and training materials for applicable health and safety regulatory standards are established, current, and available for delivery to appropriate campus groups;
  • Maintain an up-to-date webpage to enhance access to health and safety policies, procedures, technical guidance documents, and compliance assistance information;
  • Facilitate health and safety communications with the University community, and stress the importance of campus wide adherence to appropriate regulations, standards, and policies;
  • Provide graded approach (risk based) inspection services to enhance campus health and safety; and facilitate timely correction of identified non-compliances through escalating notification and enforcement;
  • Verify completion, adequacy, and adherence to required health and safety tools (e.g., WHA, ESTAs);
  • Promote EHS’s role as an environmental health and safety information resource ready to meet the needs of the campus community; and
  • Take appropriate measures (including Stop Work Authority for imminent hazard situations) to maintain acceptable margins of safety and regulatory compliance over all University operations.

* Matters pertaining to public safety, fire safety, and building code compliance, are addressed by other units within the Division of University Safety.

Administrative Oversight – The Associate Vice President of University Safety and the Director of EHS review and approve health and safety policies for the University on behalf of the President and Board of Trustees.  The Associate Vice President of University Safety is the responsible Senior University Manager for EHS and oversees the implementation of these policies.

COMMITTEES

Environmental Health and Safety Committee

The Environmental Health and Safety Committee has a diverse membership appointed by the Associate Vice President of University Safety.  Members represent the administration, faculty, and staff along with collective bargaining units, and students. The Committee meets quarterly, as mandated by CT General Statute 31-40v, “Establishment of Safety and Health Committees by Certain Employers,” to fulfill its functions and responsibilities. The committee is charged with but not limited to establishing procedures for sharing ideas with the employer concerning:

  1. Safety inspections;
  2. Investigating safety incidents, accidents, illnesses, and deaths;
  3. Evaluating accident and illness prevention programs;
  4. Establishing training programs for the identification and reduction of hazards in the workplace which damage the reproductive system of employees; and
  5. Establishing training programs to assist committee members in understanding and identifying the effects of employee substance abuse on workplace accidents and safety.

Focused Subject Matter Safety Committees

A number of safety committees reporting to the Vice President of Research have been established that address aspects of health and safety specific to research activities or focused subject matter.   These committees serve as advisory boards and research protocol review boards working in partnership with EHS to fulfill University goals.  Committee and subject matter information is linked below.

Chemical Hygiene Committee
Institutional Biosafety Committee (IBC)
Institutional Animal Care and Use Committee (IACUC)
Institutional Review Board (IRB)
Laser Safety Committee
Radiation Safety Committee

PROCEDURES/FORMS

Building and Emergency Contact (BEC) list
Employee Safety Training Assessment (ESTA)
Workplace Hazard Assessment (WHA)

ENVIRONMENTAL HEALTH and SAFETY POLICIES, PROGRAMS AND PROCEDURES

The University Health and Safety Policy is implemented through a series of policies, programs, procedures and other documents, as appropriate to the operations of UConn. These documents have been developed by EHS in response to regulatory requirements and/or University committee decisions.  These items, listed below, are mandatory in nature, and must be followed to ensure compliance.  They can also be found on the EHS website at:   http://www.ehs.uconn.edu/ppp/

Analytical X-Ray Safety Program
Arboricultural Operations Procedures
Asbestos Management Plan
Biological Safety Manual
Bloodborne Pathogens Exposure Control Plan
Chemical Hygiene Plan
Chemical Waste Disposal Manual
Confined Spaced Program
Contractor EHS Manual
Controlled Substances Policy
Electrical Safety Program
Excavation and Trenching Procedures
Fall Protection Program
Food Service Policies
General Workplace Health & Safety Inspection Program
Hazard Communication Program
Hearing Conservation Program
Laboratory Chemical Inventory Program
Laboratory Inspection Program
Laser Safety Manual
Lockout/Tagout Program
Occupational Health and Safety Program for Animal Handlers
PCB Management Plan
Powered Industrial Truck Program
Radiation Safety Committee Policy on Minor Modifications to an Existing Protocol
Radiation Safety Manual
Respirator Program
Rooftop Laboratory Exhaust Systems Maintenance Procedure
Silica in Construction Exposure Plan
Silica in General Industry Exposure Control Plan
Space Heaters Policy
Transportation of Biological Materials
Working Alone Policy

POLICY HISTORY

Policy created: 10/14/2014 (Approved by Senior Policy Council)
Revisions: 03/10/2023 (Approved by Senior Policy Council 04/26/2023)

By-Laws, Rules, and Regulations of the University Senate

Posted on by
Title: By-Laws, Rules, and Regulations of the University Senate
Policy Owner: University Senate
Applies to: Faculty, Staff, Students, Others
Campus Applicability: All University Campuses, except UConn Health
Effective Date: June 9, 2025
For More Information, Contact University Senate Office
Contact Information: (860) 486-2236
Official Website: http://www.senate.uconn.edu/

The University Senate By-Laws, Rules, and Regulations are available for download as a PDF.

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

Posted on by
Title: Consulting for Faculty and Members of the Faculty Bargaining Unit, Policy on
Policy Owner: Office of the Provost
Applies to: Faculty and members of the faculty bargaining units; Management-exempt personnel with faculty appointments
Campus Applicability: All Campuses
Effective Date: June 29, 2022
For More Information, Contact: Faculty Consulting Office
Contact Information: Storrs and Regional Campuses: Sarah Croucher, sarah.croucher@uconn.edu

UConn Health: Carla Rash, rash@uchc.edu
Official Website: http://consulting.uconn.edu/

 

1. BACKGROUND

The University recognizes the benefits derived from faculty members participating in consulting activities with outside entities. Such activities are vital for professional service, provide intellectual enrichment of faculty members and students, may foster economic development, and enhance the reputation of the University. Participation in such activities is a norm for faculty at all highly ranked U.S. public research universities. All activities where outside compensation is received that are related to the expertise of a faculty member fall within the purview of this policy, as are any activities with faculty affiliated companies.

2. PURPOSE

This policy provides a framework for consulting work with external entities to ensure compliance with the State of Connecticut Code of Ethics (Conn. General Stat §1-84(r)), other applicable policies, and to ensure such work does not conflict with University employment.

3. SCOPE

This policy applies to all faculty at the University of Connecticut and the University of Connecticut Health Center, and all staff eligible to be members of the faculty bargaining units (hereafter described as “faculty members”). The policy applies to management-exempt employees only when they have a base faculty appointment, as determined by their appointment letter. Faculty members who are employed by the University below 0.5 FTE (full-time equivalent) do not need approval to engage in consulting activities. However, such faculty may voluntarily elect to request prior approval for consulting activities. Once a faculty member in this position has requested approval to consult, all subsequent consulting activities in that reporting year must also obtain such approval.

4. DEFINITIONS

  1.  Consulting: an activity (e.g., provide services, give advice or analysis) undertaken by a faculty member for compensation as a result of their expertise or prominence in their field, while not acting in their official capacity as a State employee (i.e., in their own time). Activities such as serving on grant review panels, giving talks, or reviewing academic works are classified as consulting when undertaken for compensation. Paid or unpaid work conducted for a faculty affiliated company is also considered consulting.
  2.  Compensation: any form of payment received for the consulting activity. Compensation for consulting activities includes, but is not limited to; honoraria, stipends, payments in goods or services, stocks or stock options, other interests of value, or any forms of compensation (including “luxury travel”) above necessary expenses, even if this is intended to support costs associated with undertaking the activity.
  3.  Contracting entity: the business, nonprofit organization, government body, individual, or other organization that engages and compensates the faculty member for the consulting activity.
  4.  Faculty affiliated company (FAC): A faculty affiliated company (or other legal entity) is a for-profit or not-for-profit business where a faculty member or member of their immediate family: 1) is a director, officer, owner, or limited or general partner or, 2) is a beneficiary of a trust, or holder of stock constituting five percent or more of the total outstanding stock of any class.
  5.  Time due to the University: any time necessary for successfully carrying out the workload duties assigned to a faculty member. The University’s Bylaws and policies prohibit faculty from consulting on “time due to the university.”
  6.  Normal work time: the usual time during which a faculty member is expected to perform their job duties. These times and job duties may be defined in specific appointment letters, workload policies, or other workload assignment documentation.
  7.  Reconciliation: the process of closing out each approved consulting request after the activity has taken place (or was due to take place if it does not occur) by confirming or updating information regarding the time spent consulting and the compensation received.

5. POLICY

All full-time faculty members must receive written permission from the appropriate supervisory hierarchy prior to engaging in any consulting activity. All consulting requests and reconciliations must be submitted via the University online consulting request system. Faculty must adhere to the University’s procedures associated with this policy.

Consulting approval is not required for compensation received from royalties.

The provost will submit an annual report of consulting activities for all faculty members to the Joint Audit and Compliance Committee of the Board of Trustees. 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.

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

6. ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University Bylaws, General Rules of Conduct for all University Employees, and applicable collective bargaining agreements.

Faculty members who do not receive prior approval under this policy are 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, as outlined in the associated Procedures.

7. PROCEDURES 

Procedures on Consulting for Faculty and Members of the Faculty Bargaining Unit are linked here.

POLICY HISTORY

*Policy Created: September 25, 2007

*Revisions: 06/29/2022, 06/29/2019, 03/25/2015, 04/24/2013, 11/12/2012, 04/13/2011, 04/20/2010

*Approved by the Board of Trustees.