Staff

Non-Student Receivables Invoicing Policy

Title: Non-Student Receivables Invoicing Policy
Policy Owner: Office of the Bursar
Applies to: Faculty, Staff
Campus Applicability: Storrs and Regional Campuses
Approval Date: August 8, 2025
Effective Date: August 8, 2025
For More Information, Contact: Office of the Bursar
Contact Information: 860-486-5995
Official Website: https://bursar.uconn.edu/departments/accounts-receivable/

PURPOSE

University departments provide goods and/or services to the general public and organizations world-wide.  In accordance with the State of Connecticut Office of the State Comptroller Management of Receivables, it is the responsibility of the University to invoice customers and notify them of their financial obligation to the University.

APPLIES TO

This policy applies to departments, faculty, and staff that provide goods and/or services to customers on credit.

POLICY STATEMENT

University departments and units must invoice customers at the time goods and/or services are rendered using the Kuali Financial System (KFS).  The Office of the Bursar may grant exceptions to this policy after assessing the department or unit’s alternative billing methods for adherence to proper internal control procedures.

ENFORCEMENT

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

PROCEDURES

For additional information, access the KFS Cash and Accounts Receivable Procedure Guide at: https://bursar.uconn.edu/departments/accounts-receivable/.

REFERENCES

State of Connecticut Office of the State Comptroller Management of Receivables

POLICY HISTORY

Policy created: 08/18/2014

Revisions:
08/08/2025 (Approved by the Senior Policy Council)
01/24/2022 (Editorial revision)

 

Cash Collection and Deposit

Title: Cash Collection and Deposit
Policy Owner: Office of the Bursar
Applies to: Faculty, Staff
Campus Applicability: Storrs and Regional Campuses
Approval Date: August 8, 2025
Effective Date: August 8, 2025
For More Information, Contact: Office of the Bursar
Contact Information: cashoperations@uconn.edu
Official Website: https://bursar.uconn.edu/departments/cash-operations/

PURPOSE

To ensure compliance with Title 4 Chapter 47 Section 4-32 of the Connecticut General Statutes for accounting and depositing of any Cash received by the University.

APPLIES TO

This policy applies to any University department receiving Cash.

DEFINITIONS

Cash: Includes currency, checks, money orders, electronic payments, and all other negotiable instruments.

POLICY STATEMENT

Any department or unit at the University receiving Cash must deposit funds within 24 hours of receipt if the total amount is $500 or more; lesser amounts may be held until total receipts reach $500 but not for a period of more than seven calendar days.  All cash must be deposited into a University bank account.  Funds must be accounted for daily in the University’s general ledger system, regardless of total amount collected.

Any missing funds must be immediately reported to the University Police Department and the Office of the Controller. The results of the investigation will determine the subsequent actions. See also the Policy on the Prevention and Reporting of Fraud and Fiscal Irregularities.

ENFORCEMENT

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

PROCEDURES

Consult the Cash Operations and Accounts Receivable procedures in KnowledgeBase for proper cash handling controls for your department. Additional information is available on the Office of the Bursar website.

REFERENCES

Connecticut General State Statute Title 4 Chapter 47 Section 4-32. State Revenue Accounting

POLICY HISTORY

Revisions:
08/08/2025 (Approved by the Senior Policy Council)
01/14/2022
08/19/2014

Service Center Policy

Title: Service Center Policy
Policy Owner: Accounting Office – Office of Cost Analysis
Applies to: All University Workforce Members
Campus Applicability: All UConn Campuses, except UConn Health
Approval Date: April 30, 2026
Effective Date: April 30, 2026
For More Information, Contact: Associate Controller & Director of Accounting
Contact Information: accountingoffice@uconn.edu
Official Website: https://accounting.controller.uconn.edu/

BACKGROUND

The University of Connecticut must comply with the U.S. Office of Management and Budget (OMB) Uniform Guidance (2 CFR Part 200), which governs administrative requirements, cost principles, and audit requirements for federal awards.

Under 2 CFR 200.468, Service Center charges must:

  • Be based on actual usage;
  • Not discriminate between federally and non‑federally funded programs; and
  • Be designed to recover no more than the aggregate cost of providing services over a reasonable period.

Non‑compliance may result in federal reimbursement obligations and penalties.

PURPOSE

To define requirements for the establishment, operation, oversight, and financial management of University Service Centers and ensure compliance with OMB Uniform Guidance, federal cost principles, and University Policy while promoting equitable and consistent rate-setting practices, and ensuring charges to federally sponsored projects reflect only allowable and allocable costs.

APPLIES TO

Workforce Members who establish, manage, oversee, or utilize Service Centers that provide goods or services to internal University users. It also applies to all Service Centers that charge federally sponsored projects, other restricted funds, or institutional accounts.

DEFINITIONS

Service and Recharge Centers (“Service Centers”): Institutional units established for the purpose of providing goods and services to university departments, and only incidentally to customers outside the university, for a fee. Service and Recharge Centers offer goods and services that are unique, contribute to the mission of the University, require special control, are subject to federal and/or state regulations, or are not readily available from external sources. Goods and services are provided using approved billing rates, and on a regular and continuing basis.

The University operates three types of Service and Recharge Centers (collectively called Service Centers):

  • Department Recharge Center: A facility or departmental unit that provides services to sponsored programs and generates less than $25,000 in annual revenue and/or incurs less than $100,000 in annual expenditures.
  • Service Center: A facility that provides goods and services on a continuing basis to the University community and charges users a predetermined and approved billing rate to recover the annual cost of operations. Service centers pertain to units that generate $25,000 or more in annual revenue and/or incur $100,000 or more in annual expenditures, but do not meet the criteria of a Specialized Service Facility.
  • Specialized Service Facility (SSF): A large service center that provides unique, complex, or specialized services and has combined annual direct operating and internal overhead costs of $1,000,000 or more.

Sponsored Projects: Activities funded by an external sponsor, such as a federal or state agency, foundation, or other non University entity, under a formal award (grant, contract, or cooperative agreement) that obligates the University to conduct a defined scope of work and comply with specific terms and conditions.

Allowable Costs: Costs that meet the requirements of 2 CFR Part 200, including being reasonable, allocable, consistently treated, and not specifically identified as unallowable.

Governmental Cost Accounting Standards (CAS): standards and rules administered by the federal government for use in achieving uniformity and consistency under federal contracts.

POLICY STATEMENT

The University of Connecticut shall establish, operate, and manage Service Centers in compliance with the Uniform Guidance.

The Office of Cost Analysis (OCA), a unit within the University’s Accounting Office, is responsible for ensuring that the establishment of and the rates charged by University Service Centers are in accordance with the Uniform Guidance.  The OCA reviews the rates charged by Service Centers, and ensures that the rates are consistent with good business practice and comply with all applicable regulatory and legal requirements, including those outlined in the Uniform Guidance and the Governmental Cost Accounting Standards (CAS).  The OCA will ensure that federally sponsored projects are not charged a rate that is higher than any other internal users for the same goods or services under similar circumstances. External rates include indirect costs or overhead, whereas internal rates include only direct costs.  Departments operating Service Centers must have the Center and the rates used by the Center, approved by the Manager of OCA in advance of commencing operations.

Service Centers must maintain sufficient documentation to support rate calculations, cost components, and usage bases. Documentation must be retained in accordance with university record retention requirements and applicable federal regulations.

Establishment of Service Centers

Service Centers are created to improve operational efficiency, reduce duplication, and offer specialized services. Departments must use existing Service Centers where available before establishing new ones. A written proposal must be submitted and approved by the sponsoring Department Head which includes:

  • Service description,
  • Justification,
  • Comparison to external providers,
  • Cost, revenue projections, and utilization estimates.

Funding Requirements

Funds must be secured prior to beginning operations, including:

  • Equipment,
  • Inventory,
  • Working capital.

Foundation funds may be used only if unrestricted or expressly allowed and compliant with federal cost principles. Sponsored award funds may not be used to establish Service Centers.

Rate Setting Standards and Costs

Rates must:

  • Recover total operating costs;
  • Be based on actual usage;
  • Ensure equitable charges to all University users;
  • Be billed uniformly and in a timely manner (at least once monthly)
  • Not exceed the cost of operations,
  • Exclude unallowable costs,
  • Be reviewed at least biennially by the Department and the OCA,
  • External user rates may include overhead and indirect costs.

Costs must be reasonable, allocable, and allowable under Uniform Guidance. Allowable costs include salaries, fringe benefits, depreciation (non‑federally funded equipment), supplies, maintenance, and allowable overhead.

Unallowable costs include, but are not limited to: advertising, alcohol, bad debts, donations, entertainment, fundraising, and public relations.

Billing

Service Centers must operate and bill consistently within the University fiscal year and maintain complete documentation supporting billings. Billing must occur at least monthly using approved rates. Prepayment for services and advance billing is prohibited.

Closing a Service Center

Written notification must be sent to the Department Head and Office of Cost Analysis within 90 days.

The final fund balance must be brought to zero. Departments must fund any deficit; federal grants must be refunded for surplus balances. The service center account must be formally closed in KFS.

ENFORCEMENT

Operating units that process internal charges for goods and services are subject to government regulations concerning service centers.

Service center violations under 2 CFR 200 (Uniform Guidance) can subject organizations to significant federal penalties, including disallowed costs, suspension, or debarment. Non-compliant, profit-making, or discriminatory fee structures against federal awards may lead to government-imposed fines, audit findings, or repayment of funds.

Violations of this policy and any related procedures 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

Procedures and forms related to this policy are maintained separately by the Office of Cost Analysis. Refer to Establishment and Financial Management of Service Centers and UConn Service Centers Checklist posted in the Accounting website.

UConn Service Centers Checklist
Establishment and Financial Management of Service Centers

REFERENCES

2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards eCFR :: 2 CFR Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards

POLICY HISTORY

Policy Created: December 26, 2014

Revisions: 

Review and editorial revisions August 27, 2021
April 30, 2026 (Approved by the University Senior Policy Council and President)

 

Personal Services Fringe Rate Calculation for Grants/Research

Title: Personal Services Fringe Rate Calculation for Grants/Research
Policy Owner: Accounting Office
Applies to: Faculty, staff and designated University affiliates
Campus Applicability: Storrs and Regional Campuses
Effective Date: December 26, 2014
For More Information, Contact Associate Controller & Director of Accounting
Contact Information: (860) 486-1366
Official Website: https://accountingoffice.uconn.edu/

PURPOSE

To ensure that the University is in compliance with the cost principles and accounting standards set forth by the federal government.

APPLIES TO

This policy applies to faculty, staff and designated affiliates of the University of Connecticut, Storrs and Regional Campuses.

DEFINITIONS

Personal Services Fringe Rates are calculated to cover the cost of employer-paid contributions for retirement, health care, life insurance and other fringe benefits on grants.  The rates vary because the calculation is based on a percentage of salaries for different categories of personnel.

OMB Uniform Guidance – publication of the Office of Management and Budget titled “Cost Principles and Audit Requirements for Federal Awards.”

Governmental Cost Accounting Standards (CAS) – standards and rules administered by the federal Government for use in achieving uniformity and consistency under federal contracts.

POLICY STATEMENT

The Office of Cost Analysis (OCA), a unit within the University’s Accounting Office, is responsible for calculating personal services fringe rates that are charged to research grants in accordance with OMB Uniform Guidance and the Government Cost Accounting Standards (CAS).  Federal grants may not be charged personal services fringe rates unless approved by the Department of Health and Human Services, our cognizant federal agency. University departments charging personal services to grants must use the approved fringe rates.

ENFORCEMENT

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

PROCEDURES/FORMS

The rates are calculated by the OCA based on current financial information and then adjusted annually in the future rates, based on actual costs.

For more information on OMB Uniform Guidance, please see

http://www.whitehouse.gov/omb/

POLICY HISTORY

Revisions:  Review and editorial revisions August 27, 2021

Financial Statements and Financial Reports Policy

Title: Financial Statements and Financial Reports Policy
Policy Owner: Accounting Office
Applies to: Staff
Campus Applicability: Storrs and Regional Campuses
Effective Date: August 19, 2014
For More Information, Contact Associate Controller & Director of Accounting
Contact Information: (860) 486-1366
Official Website: https://accountingoffice.uconn.edu/

PURPOSE

The financial position of the University must be represented in conformity with Generally Accepted Accounting Principles (GAAP) in the United States of America and the Governmental Accounting Standards Board (GASB).

APPLIES TO

This policy applies to all staff of the University of Connecticut, Storrs and Regional Campuses.  Fiscal staff are responsible for adhering to this policy, and the Accounting Office staff ensure adherence.

DEFINITIONS

Fiscal staff:  are generally responsible in their respective areas for financial matters including but not limited to procurement, adhering to budgets, safeguarding assets, and completing transactions in the financial system.

POLICY STATEMENT

The Accounting Office is responsible for ensuring that the financial statements of the University, as well as all financial reports produced by the Accounting Office and provided to internal or external parties of the University, are presented fairly in all material respects, and that they represent the financial position of the University in conformity with accounting principles generally accepted in the United States of America (GAAP) and the Governmental Accounting Standards Board (GASB). Fiscal staff are responsible for applying proper accounting principles which is the basis for accurate financial reporting.

ENFORCEMENT

Violations of this policy may result in appropriate 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 Conduct Code.

POLICY HISTORY

Revisions:  Review and editorial revisions August 27, 2021

Facilities and Administrative (F&A) Rate Calculation Policy

Title: Facilities and Administrative (F&A) Rate Calculation Policy
Policy Owner: Accounting Office
Applies to: Faculty, Staff and Designated Affiliates
Campus Applicability: Storrs and Regional Campuses
Effective Date: December 26, 2014
For More Information, Contact Associate Controller and Director of Accounting
Contact Information: (860) 486-1366
Official Website: https://accountingoffice.uconn.edu/

PURPOSE

To ensure that the University is in compliance with the cost principles and accounting standards set forth by the federal government.

APPLIES TO

This policy applies to faculty, staff and designated affiliates of the University of Connecticut, Storrs and Regional Campuses.

DEFINITIONS

Facilities & Administrative (F & A) Rate: overhead rate charged to federal research grants. It is synonymous with indirect costs, and refers to the actual operating costs for facilities and administrative personnel necessary to support externally funded research.

OMB Uniform Guidance: publication of the Office of Management and Budget titled “Cost Principles and Audit Requirements for Federal Awards.”

Governmental Cost Accounting Standards (CAS): standards and rules administered by the U.S. government for use in achieving uniformity and consistency under federal contracts.

POLICY STATEMENT

The Office of Cost Analysis (OCA), a unit within the Accounting Office, is responsible for calculating the Facilities and Administrative (F&A) rate charged to federal research grants every five years in accordance with OMB Uniform Guidance and the Government Cost Accounting Standards (CAS).  The OCA will ensure that federal grants and contracts are not charged a higher rate for goods and/or services that any other internal or external customer may be charged, and only the approved F&A can be charged to grants.  Departments cannot charge more on a grant than the rates approved by the Department of Health and Human Services, our cognizant federal agency.

ENFORCEMENT

Violations of this policy may result in appropriate 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 Conduct Code.

PROCEDURES/FORMS

For more information on OMB Uniform Guidance, please see:

http://www.whitehouse.gov/omb/

POLICY HISTORY

Revisions:  Review and editorial revisions August 27, 2021

Financial Accounting and Chart of Accounts Policy

Title: Financial Accounting and Chart of Accounts Policy
Policy Owner: Accounting Office
Applies to: University Workforce Members
Campus Applicability: All UConn Campuses, except UConn Health
Approval Date: December 23, 2025
Effective Date: January 1, 2026
For More Information, Contact Associate Controller & Director of Accounting
Contact Information: accountingoffice@uconn.edu
Official Website: https://accountingoffice.uconn.edu/

PURPOSE

To ensure accurate and consistent recording of the University’s financial transactions and proper creation, maintenance, and use of the University’s Chart of Accounts for reliable financial reporting, strong internal controls, and compliance with all applicable accounting and reporting standards.

APPLIES TO

This policy applies to all Workforce Members involved in the initiation, approval, recording, reconciliation, or reporting of financial transactions.

DEFINITIONS

Chart of Accounts: The structured listing of account codes, attributes, and financial classifications used to record and report the University’s financial activity.

Financial Reporting Requirements: Standards and rules that govern how the University prepares and presents its financial information, including U.S. Generally Accepted Accounting Principles (GAAP), standards issued by the Governmental Accounting Standards Board (GASB), and other applicable state, federal, or sponsor requirements.

General Ledger: The central component of the University’s accounting system that records detailed financial transactions and account balances.

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.

Fiscal Staff: Workforce members that are generally responsible in their respective areas for financial matters including but not limited to procurement, adhering to budgets, safeguarding assets, and completing transactions in the financial system.

Departments: Academic, administrative, and operational units of the University, including schools, colleges, divisions, and centers, that initiate, approve, record, or review financial transactions.

Accounting Transactions: Financial activities recorded in the University’s general ledger that affect account balances. These include, but are not limited to, Distribution of Income and Expense (DI), Internal Billing (IB), Transfer of Funds (TF), Salary Transfer (ST), and General Ledger Transfer (GLT).

Supporting Documentation: Records that validate the accuracy and purpose of a transaction, such as invoices, receipts, contracts, email correspondence, or internal approval forms, as specified in University procedures.

POLICY STATEMENT

The University must maintain financial records that fairly and accurately represent its financial position in accordance with applicable Financial Reporting Requirements, including GAAP and GASB standards.

The Accounting Office maintains the University’s Chart of Accounts and ensures proper classification of revenues, expenses, assets, liabilities, and fund balances. Fiscal Staff may submit account requests or attribute changes through the University’s electronic workflow system. The department’s authorized approver or their delegate, as defined by University policy, must review account requests for accuracy, completeness, and compliance with University coding standards prior to final review by the Accounting Office.  The Chart Manager Group within the Accounting Office approves all new accounts and attribute changes to ensure compliance with Financial Reporting Requirements.

Fiscal Staff must record all Accounting Transactions using the appropriate object codes, and include  supporting documentation as outlined in applicable University procedures. The Accounting Office reviews and approves accounting entries, as appropriate, to help ensure the integrity, accuracy, and reliability of the University’s financial reporting. Departments should consult with the Accounting Office concerning issues or discrepancies in their General Ledger accounts that cannot be resolved at the department level.

ENFORCEMENT

Violations of this policy and any related procedures 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

The Accounting Office maintains the procedures and reference information supporting this policy, both of which are published in the University’s Knowledge Base. This includes the Chart of Accounts structure, attributes, object code descriptions, and procedures for requesting new accounts, processing Accounting Transactions, and correcting errors.

For additional guidance on account classification, transaction processing, or coding, departments may contact the Accounting Office.

Accounting – Finance, Payroll, and Budget – UConn Knowledge Base
Chart of Accounts – Finance, Payroll, and Budget – UConn Knowledge Base

POLICY HISTORY

Policy created: 08/19/2014

Revisions:

08/27/2021 (Review and editorial revisions)
12/23/2025 (Approved by the University Senior Policy Council and President)

Capitalization Policy

Title: Capitalization Policy
Policy Owner: Accounting Office
Applies to: Staff
Campus Applicability: All campuses except UConn Health
Effective Date: September 15, 2021
For More Information, Contact Associate Controller & Director of Accounting
Contact Information: (860) 486-1366
Official Website: https://accounting.controller.uconn.edu/

PURPOSE

The property and equipment of the University must be presented in conformity with Generally Accepted Accounting Principles (GAAP) in the United States of America and the Governmental Accounting Standards Board (GASB).

APPLIES TO

This policy applies to all staff of the University of Connecticut, Storrs and Regional Campuses.  Fiscal staff are responsible for adhering to this policy, and the Accounting Office staff ensure adherence.

DEFINITIONS

Capitalization: Accumulating the costs of an asset to be expensed over the useful life of the asset.
Depreciation: the systematic allocation of the cost of an asset from the balance sheet to an expense on the income statement over the useful life of the asset.
General Ledger: part of the accounting system which contains the balance sheet and income statement accounts used for recording financial transactions.
Fiscal staff: Generally responsible in their respective areas for financial matters including but not limited to procurement, adhering to budgets, safeguarding assets, and completing transactions in the financial system.

POLICY STATEMENT

All equipment costing $5,000 or more and having a useful life of one year or more will be capitalized and depreciated in the University’s General Ledger and presented on the University’s financial statements in accordance with GAAP and GASB.  All improvements to buildings and nonstructural assets that extend the useful life of the asset will also be capitalized and depreciated in accordance with GAAP and GASB. In addition, new land, buildings and nonstructural assets will be capitalized and depreciated, if applicable, according to accounting standards within GAAP and GASB.  Property and equipment are recorded in the General Ledger at cost at date of acquisition including all costs necessary to place the asset in a useable condition. Gifts are recorded the acquisition value at the date of donation. Renovations that are determined to materially or significantly increase the value or useful life of an asset are capitalized.   Routine repairs and maintenance costs that are incurred in the normal course of business are charged to operating expenses in the year incurred.

ENFORCEMENT

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

PROCEDURES/FORMS

Please see https://accounting.controller.uconn.edu/ for more information regarding capitalization.

POLICY HISTORY

Revisions: August 19, 2014; Review and editorial revisions September 2021

Environmental Policy Statement

Title: Environmental Policy Statement
Policy Owner: Office of Sustainability
Applies to: Faculty, Staff, Students, Senior Administrators
Campus Applicability:  Storrs based system
Effective Date: January 2007
For More Information, Contact Office of Sustainability
Contact Information: (860) 486-8741
Official Website: http://ecohusky.uconn.edu

In fulfilling its mission as Connecticut’s land grant, public research university and its corresponding obligation to protect and preserve natural resources for an environmentally sustainable future, the University of Connecticut commits to the following principles of environmental leadership:

Performance: The University will institutionalize best practices, comply with environmental laws, regulations and standards, and continually monitor, report on and improve its environmental performance.

Responsible management and growth: The University will endeavor to design, construct and maintain its buildings, infrastructure and grounds in a manner that ensures environmental sustainability and protects public health and safety.

Outreach: The University will promote environmental stewardship in Connecticut and embrace environmental initiatives in partnership with its surrounding communities.

Academics: The University will advance understanding of the environment through its curriculum, research and other academic programs, and will employ an ethic of environmental stewardship in all intellectual pursuits.

Conservation: The University will conserve natural resources, increase its use of environmentally sustainable products, materials and services, including renewable resources, and prevent pollution and minimize wastes through reduction, reuse and recycling.

Teamwork: The University will encourage teamwork and provide groups and individuals with support, guidance and recognition for achieving shared environmental goals.
Adopted April 22, 2004 (rev. Jan. 2007)

Security Camera Policy

Title: Security Camera Policy
Policy Owner: Division of Public Safety & Office of the General Counsel
Applies to: Faculty, Staff
Campus Applicability:  Storrs, Regionals, and the School of Law
Effective Date: September 12, 2014
For More Information, Contact Director of Public Safety
Contact Information: (860) 486-4806
Official Website: http://publicsafety.uconn.edu

I.          Scope

This policy applies to the University of Connecticut at Storrs, the University’s regional campuses and the University’s School of Law.  The determination of whether a facility leased by the University, whether as lessor or lessee, will be subject to this policy will be made by the Chief of Police on a case-by-case basis, taking into consideration factors including the location of the facility, facility attributes, and the terms of the pertinent lease agreement.

This policy applies to all faculty and staff employed by, and to all schools and departments within, the University.  This policy shall not apply to use of cameras for reasons unrelated to surveillance activity, including remote monitoring of facilities construction and progress, videotaping of athletic events for post-game reviews, the use of cameras in connection with human subject and animal research (which use shall be governed by University policies governing research) the use of cameras in certain laboratories to ensure safe research practices, and the use of cameras for legitimate educational purposes.  Nor shall this policy apply to cameras used by law enforcement in the following manners: covert operations for the purpose of criminal surveillance; or mobile cameras used in, on, or about law enforcement or parking services vehicles; or body-worn or otherwise portable cameras used during the course of investigations or normal law enforcement functions; or parking enforcement cameras.

 

II.         Purpose

The purpose of this policy is to provide guidelines for the use of security cameras on property owned and/or utilized by the University in a way that enhances security and aids law enforcement while respecting the privacy expectations of members of the University community.

The primary purpose of utilizing security cameras in public areas is to deter crime and to assist law enforcement in enhancing the safety and security of members of the University community and University property.  The primary use of security cameras will be to record video images for use by law enforcement and other University officials charged with investigating alleged violations of law or University policy.

The existence of this policy does not imply or guarantee that security cameras will be monitored in real time continuously or otherwise.

III.        RELATED POLICIES

  • Acceptable Use, Information Technology
  • University Code of Conduct
  • General Rules of Conduct
  • The Student Code

IV.        Definitions

As used within and for the purposes of this policy, the following terms are defined as follows.

Chief of Police: the head of the Division of Public Safety or his or her designee.

Private areas: areas in which a person has a reasonable expectation of privacy, including, but not limited to,non-common areas of residence halls, residence hall corridors, bathrooms, shower areas, locker and changing rooms and other areas where a reasonable person might change clothes.  Additionally, areas designed for the personal comfort of University employees or the safeguarding of their possessions, such as lounges and locker rooms, and areas dedicated to medical, physical, or mental therapy or treatment shall be considered private areas for the purpose of this policy.

Public areas: areas made available for use by the public, including, but not limited to, campus grounds, parking areas, building exteriors, loading docks, areas of ingress and egress, classrooms, lecture halls, study rooms, lobbies, theaters, libraries, dining halls, gymnasiums, recreation areas, and retail establishments.  Areas of the University in which persons would not have a reasonable expectation of privacy, but to which access is restricted to certain University employees, such as storage areas, shall also be considered public areas for the purpose of this policy.

Security camera: a camera used for monitoring or recording public areas for the purposes of enhancing public safety, discouraging theft and other criminal activities, and investigating incidents.
Security camera recording: a digital or analog recording of the feed from a security camera.

Security camera system: any electronic service, software, or hardware directly supporting or deploying a security camera.

V.         Responsibilities and Authority

Responsibility for oversight of installation, maintenance, and utilization of security cameras and associated policies, standards, and procedures is delegated by the President of the University to the Chief of Police. This responsibility includes:

  1. creation, maintenance, and review of a campus strategy for the procurement, deployment, and use of security cameras, including this and related policies;
  2. designation of the standard campus security camera system or service;
  3. authorizing the  placement of all security cameras;
  4. authorizing the purchase of any new security camera systems;
  5. reviewing existing security camera systems and installations and identifying modifications required to bring them into compliance with this policy;
  6. creating and approving campus standards for security cameras and their use; and
  7. creating and approving procedures for the use of security cameras.

VI.        Control Elements

VI.1      Training

 

All personnel involved in the installation, maintenance or monitoring of security cameras: (a) will be instructed in the technical, legal and ethical parameters of appropriate camera use; and (b) will receive a copy of this policy and provide a written acknowledgment that they have read and understood its contents.

VI.2      Security Camera Placement

  1. University Police shall be solely responsible for the oversight of temporary or permanent security cameras on campus.  As such, all installations must be approved by them.  Schools, departments and offices desiring the installation and use of security cameras shall submit a request for such installation to University Police.  All proposals for the deployment of security cameras will include proposed sites for the placement of notifying signs (see Section VI.3. below).  Installation of video security applications shall be the financial responsibility of the requesting school, department or office.
  2. University schools, departments and offices presently utilizing security cameras shall promptly advise the University Police Department, which will review the location and utilization of the cameras and identify actions necessary to bring such usage into conformance with this policy.
  3. Consistent with the requirements of state law, security cameras utilized by the University will not record or monitor sound.  Audio recordings shall be prohibited unless permitted by law and specifically authorized by the Chief of Police.
  4. Use of security cameras shall be limited to public areas. Video surveillance shall be not conducted in private areas of the campus unless specifically authorized by the Chief of Police pursuant to a search warrant or otherwise. If needed, electronic shielding will be placed in the security camera so that the security camera cannot be used to look into or through windows into private areas.
  5. Where Security Cameras are permitted in private areas, they will, to the maximum extent possible, be used narrowly to protect persons, money, real or personal property, documents, supplies, equipment, or pharmaceuticals from theft, destruction, or tampering.
  6. Security cameras shall not be directed at the windows of any privately-owned residence not located on University property.
  7. Inoperative, placebo, or “dummy” security cameras shall NEVER be installed or utilized, as they may lead to a false sense of security that someone is monitoring an operational camera.

VI.3      Security Camera Monitoring and Review

  1. The University Police may monitor and review security camera feeds and recordings as needed to support investigations and to enhance public safety.  It is not intended or expected that security cameras will be routinely monitored in real time.
  2. With the prior approval of the Chief of Police, other University personnel may monitor and review security camera live feeds and recordings for purposes of public safety.
  3. Monitoring individuals based on characteristics of race, gender, ethnicity, sexual orientation, disability, or other protected classification is prohibited.  Seeking out and continuously viewing people becoming intimate in public areas is prohibited.

VI.4      Notification Requirements

Except in emergency or investigative situations, all locations with security cameras will have signs displayed that provide reasonable notification of the presence of security cameras.  The placement of the signs and the text on the signs will be subject to the approval of the Chief of Police.

Notification signs shall be placed in conspicuous areas in close proximity to the security cameras.  For buildings with interior cameras, this shall include, at a minimum, the placement of signs at all primary building entrances.  All such signs shall contain a notification that the cameras may or may not be monitored.

VI.5      Use of Recordings

Security camera recordings, with the approval of the Chief of Police, shall be used for the purposes of enhancing public safety, discouraging theft and other criminal activities, and investigating incidents (including the release of recordings by the Division of Public Safety to external law enforcement agencies).  Recordings from cameras whose primary function is not security (such as classroom lecture capture) may, with the authorization of the Chief of Police, be used for these purposes.

Security cameras shall not be utilized to conduct personnel investigations, such as those related to (but not limited to) work place attendance or work quality.  However, the University may utilize routine security camera recordings in support of disciplinary proceedings against employees and/or students, or in a civil suit or other proceeding involving person(s) whose activities are shown on the recording and relate to the proceeding. For example, the situation could be an arbitration or other proceeding and the proceeding could be by or against such person. Information obtained in violation of this policy may not be used in a disciplinary proceeding against a University student or employee.

The use of security cameras and/or recordings for any purpose not detailed within this policy is subject to including §6 of the campus policy on the Appropriate Use of Computers and Network Systems.

Records of access to and release of, Security Camera recordings must be sufficient so as to demonstrate compliance with this policy.

VI.6      Protection and Retention of Security Camera Recordings

Video footage will be stored on servers accorded appropriate computer security with access by authorized personnel only.

Security camera recordings will be retained in accordance with the records retention policies of the State of Connecticut.  This retention period may be extended at the direction of the General Counsel or the Chief of Police or as required by law.

VI.7      Release of Recorded Material

Requests for release of recorded material must be approved by the Chief of Police.  Requests for release of recorded material set forth in subpoenas or other legal documents compelling disclosure should be submitted to the General Counsel.

VII.       Compliance

It shall be the responsibility of the Chief of Police to see that records related to the use of security cameras and recordings from security cameras are sufficient to demonstrate compliance with this policy.  Units that maintain or support security camera technology must also maintain records and configure systems to ensure compliance with this policy.  Before procuring security camera systems, units will need to ensure compatibility with the system identified as the campus standard by the Chief of Police.

The Chief Information Officer, or his or her designee, in conjunction with the Chief of Police, or his or her designee, may review the deployment and utilization of security cameras at the University, whenever and as frequently as they deem necessary. A finding that a school, department or office has failed to comply with the requirements of this policy may result in the loss of its privilege to support, maintain, or deploy security cameras and may result in other remedial action at the direction of the President or the President’s designee.

VIII.      Exceptions

Uses of security cameras beyond those described in this security camera policy shall be governed by applicable University policies and procedures.  Persons having questions about the use of monitoring cameras not subject to this policy should direct those questions to the Chief of Police or the General Counsel.

IX.        REVIEW OF POLICY

 

This policy will be reviewed, and revised as necessary, by the Department of Public Safety, annually or more frequently as circumstances require.