Students

Alcoholic Beverage Sales and Service Policy

Title: Alcoholic Beverage Sales and Service, Policy on
Policy Owner: Department of Dining Services
Applies to: Students, Employees, Others
Campus Applicability: All Campuses
Effective Date: October 23, 2017
For More Information, Contact Department of Dining Services or
UConn Health
Contact Information: (860) 486-3128 (Storrs/Regional Campuses)
(860) 679-4177 (UConn Health)
Official Website: http://www.dining.uconn.edu

PURPOSE

To provide specific requirements for the sale and/or service of alcoholic beverages at University sponsored events.

SCOPE

This policy does not apply to non-University on-campus entities (such as the University of Connecticut Foundation and the Nathan Hale Inn) or off campus Athletic venues.

DEFINITIONS

University Sponsored Events: An official activity, function or meeting operated and/or financially supported by the University of Connecticut, whether on- or off-campus.

Permanent Installation: A permanent foodservice operated by the Department of Dining Services on a Regional Campus.

POLICY STATEMENT

Alcohol Service on University Campuses: The Department of Dining Services is the sole liquor permit-holder on University campuses with a Permanent Installation, and is solely responsible for ensuring the proper service of alcohol at any on-campus University Sponsored Event where a Permanent Installation exists. Campuses with a Permanent Installation must use the Department of Dining Services to serve alcohol. At campuses without a Permanent Installation (except UConn Health) departments must seek approval from the Department of Dining Services to use an alternate service. Requests must be approved in writing by the Department of Dining Services. At UConn Health, requests must be approved in writing by the Dean of the School of Medicine, the Dean of the School of Dental Medicine, or the Chief Administrative Officer, as appropriate.

Alcohol Service at Off-Campus University Sponsored Events:  If alcohol is to be served at an off-campus University Sponsored Event, the individuals responsible for event planning must ensure that the sale and/or service of alcohol complies with this policy.

Sales and Service of Alcoholic Beverages

Alcoholic beverages may be possessed, served, sold or consumed at a University Sponsored Event or Permanent Installation only under the following conditions:

  • In no circumstances may alcohol be purchased with University funds or Trustee student organization fees, either directly or indirectly. For example, funds used to purchase food or cover facility fees may never subsidize the purchase of alcohol.
  • Service and sale of alcoholic beverages is covered by an appropriate liquor permit. At campuses with a Permanent Installation, this is the Department of Dining Services’ liquor permit. At campuses without a Permanent Installation, including UConn Health, this is an approved vendor or caterer’s liquor permit.
  • Alcohol servers are TIPS (Training for Intervention Procedures) certified.
  • Alcoholic beverages are served as a complement to a planned program or event with a legitimate University business purpose.
  • Alcoholic beverage service is accompanied by food service and non-alcoholic beverage alternatives in amounts sufficient for all attendees.

Additional restrictions include:

  • Alcohol service is prohibited in academic buildings while classes are in session in that building. At UConn Health, exceptions must be approved in writing by the appropriate Dean or the Chief Administrative Officer.
  • University employees may not host department meetings or gatherings on campus and supply their own alcohol.
  • At campuses with a Permanent Installation, all alcohol service must be arranged, purchased, and served by the Department of Dining Services. External caterers may not provide alcohol on these campuses.
  • No alcoholic beverages may be served for any group of students of the University, or for any function, where it is reasonable to expect consumption by persons under the age of twenty-one years.

Campuses without the Presence of the Department of Dining Services

If alcohol is to be served at a University Sponsored Event at a campus without a Permanent Installation (except UConn Health), the individuals responsible for event planning must first submit a request for approval to the Department of Dining Services. This form is located at https://dining.uconn.edu/alcohol-request-form/. At UConn Health, requests must be submitted using this form and approved by the Dean of the School of Medicine, the Dean of the School of Dental Medicine, or the Chief Administrative Officer, as appropriate.

Exceptions to this policy may be granted by the Office of the President. At all times, any entity serving alcohol on campus must have the appropriate liquor permit.

ENFORCEMENT

This policy is intended to complement existing University policy regarding alcohol, including but not limited to, the General Rules of Conduct, Student Code, and the University Policy on Alcohol and Other Drugs.

Violations of these policies 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.  Depending on the nature and severity of the violations, additional sanctions may be enacted.

Animals on Campus

Title: Animals on Campus Policy
Policy Owner: Office of Institutional Equity
Applies to: Students, All Employees, Contractors, Vendors, Visitors, Guests and Other Third Parties
Campus Applicability: All Campuses, including UConn Health
Effective Date: May 10, 2024
For More Information, Contact Office of Institutional Equity
Contact Information: (860) 486-2943 & (860) 679-3563
Official Website: http://www.equity.uconn.edu and http://accessibility.uconn.edu

Click here to view a PDF, Printer Friendly copy of this policy.

Related Policies are:

Policy Against Discrimination, Harassment and Related Interpersonal Violence
Policy Statement: People with Disabilities

Related Documents are:

Animals in the Clinical Practice and Patient Care Areas
Frequently Asked Questions
Animal Related Program Registration Form

PURPOSE

This policy provides the rules concerning individuals bringing animals on University Property. This policy applies to all University campuses. Specific procedures regarding the presence of animals in UConn Health clinical practice and patient care areas are outlined in the UConn Health Animals in the Clinical Practice Policy.

APPLIES TO

This policy applies to all individuals bringing an animal on University Property, including all campuses and UConn Health.
Exclusions
This policy does not apply to:

  • Fish in aquariums no larger than ten gallons as follows:
    • Within University housing, such aquariums are allowed without advance notice or permission;
    • Within employee workspaces, such aquariums are allowed only with prior written authorization of the Handler’s manager/supervisor. At any time, a manager may revoke approval for such an aquarium, requiring its immediate removal from the workspace;
    • The Handler has responsibility for maintaining the aquarium in a clean and sanitary manner and for any damage caused by the aquarium.
  • University-maintained fish in aquariums of any size located in waiting rooms or other public areas of UConn Health facilities and maintained by UConn Health, including John Dempsey Hospital and University Medical Group
  • Animals used in Institutional Animal Care and Use Committee (IACUC) approved University research, education or testing. Animals used in classes on campus, based on requests by faculty for such use. Such requests may be granted only upon showing that the presence of the animal is for a bona fide educational purpose, and such purpose is clearly delineated on the course syllabus as a central topic in class. Prior permission must be obtained from the academic unit head, the dean and/or the Provost’s Office and the IACUC
  • Animals used in police, search and rescue operations on University Property
  • Animals trained for and used in a clinical therapeutic setting on campus, such as a counseling center
  • Appearances by the official mascot of the University and/or official mascots of other institutions as approved by event organizers
  • Animals accompanying individuals in clinical practice or patient care areas at UConn Health pursuant to the UConn Health Clinical Practice Procedures Regarding Animals.

DEFINITIONS

Controlled Space: For purposes of this policy, Controlled Spaces are not Public Spaces. Controlled Spaces are defined as any indoor area owned or controlled by the University, and any outdoor area owned or controlled by the University with limitations on use or access (e.g., practice fields, stadiums, farm, tennis courts, etc.). Areas open to the public (i.e., streets, lawns, sidewalks, parking lots) with no limitations on access are not Controlled Spaces.

Emotional Support Animal (ESA): Any animal specifically designated by a qualified medical provider that mitigates one or more identified impact(s) of an individual’s disability. Such may afford an individual with a disability an equal access to the living space, workplace, or other area, provided there is a nexus between the individual’s disability and the animal’s role in the individual’s treatment. ESAs are also commonly known as companion, therapeutic or assistance animals. ESAs are not Service Animals, nor provided specific protections under the Americans with Disabilities Act and its amendments.

Handler: An individual with a disability who is the owner and user, or trainer of a Service Animal or ESA, or the owner or individual bringing an animal onto University Property.

Pet: For purposes of this policy, a Pet is any animal that is not a Service Animal or ESA.

Public Spaces: For purposes of this policy, Public Spaces are indoor and outdoor areas that are open to the general public. Classrooms, residence halls and most employee workspaces are not generally considered Public Spaces.

Service Animal: Any dog or miniature horse specifically trained to perform a task for the benefit of an individual with a disability. In some circumstances, a miniature horse may be considered a Service Animal. The tasks performed by a Service Animal must directly relate to the individual’s disability.

Service Animal in Training: For purposes of this policy, a Service Animal in Training is a dog or miniature horse that is being trained as a Service Animal. This includes a puppy that is being raised to become a Service Animal in Training.

University Property: University Property includes any area that is owned and operated by the University.

POLICY STATEMENT

All individuals are generally prohibited from bringing animals into any buildings or other Controlled Spaces on University Property. However, individuals with disabilities are allowed to bring Service Animals and ESAs on and/or into Controlled Spaces as provided below. In addition, faculty and staff are permitted to have Pets in university-owned residential housing only to the extent permitted by the lease governing their rental agreement.  Exceptions for individuals in residence halls may be made at the sole discretion of the Executive Director of Residential Life or designee for exigent circumstances or other good cause shown consistent with the spirit and intent of this policy.

Service Animals

The University welcomes the presence of Service Animals assisting people with disabilities on its campuses consistent with the provisions of this policy and applicable law. A Service Animal is generally permitted to be on University Property in any place where the animal’s Handler is permitted to be. In certain limited situations, a Service Animal may be prohibited for safety and health reasons. The accompaniment of an individual with a disability by a Service Animal in a location with health and safety restrictions will be reviewed on a case-by-case basis by the appropriate department representative(s) in collaboration with the Department of Human Resources and/or the Center for Students with Disabilities.

Members of the University community are prohibited from interfering in any way with a Service Animal, or the duties it performs.

Service Animals in Training

Connecticut law entitles any individual training a Service Animal to enter Public Spaces. A Service Animal in Training is not allowed in Controlled Spaces including classrooms, residence halls and employee work areas. The individual training a Service Animal must be authorized to engage in designated training activities by a Service Animal organization or an individual who volunteers for a Service Animal organization that authorizes such volunteers to raise dogs to become Service Animals.  Individuals training a Service Animal must carry photographic identification indicating authorization to train the animal. A Service Animal in Training, including a puppy that is being raised to become a Service Animal in Training, must be identified with either tags, ear tattoos, identifying bandanas (on puppies), identifying coats (on adult dogs), or leashes and collars.

Emotional Support Animals (ESAs)

Emotional Support Animals are approved on a case-by-case basis by engaging in the interactive intake process with the appropriate University entity. A student’s approved ESA is permitted within the individual’s privately assigned living space. An ESA outside the private individual’s living accommodations must be in an animal carrier or controlled by a leash or harness.  ESAs are not allowed in any other Controlled Spaces without advance permission. ESAs are permitted to be in outdoor public areas to the same extent as Pets.

An ESA owned by an individual employed by the University may be permitted within the individual’s workplace as an accommodation for a disability but must be approved in advance by the Americans with Disabilities Act (ADA) Case Manager at the Department of Human Resources as outlined below.

Pets

Pets generally are not permitted in or on any Controlled Space on University Property and are permitted only in outdoor areas open to the general public.

RESPONSIBILITIES OF FACULTY, STAFF, AND STUDENTS

Faculty, staff, or other students may not request documentation or proof that a Service Animal has been certified, trained, or licensed as a Service Animal.  When the need for the Service Animal is obvious, specific questions related to the Handler’s disability or need for the animal are not permitted. When the need for the Service Animal or its work is not obvious, authorized staff (including the Center for Students with Disabilities, ADA Coordinator, Human Resources ADA Case Manager, Campus Police or security, Facilities or Faculty) may ask the following questions only:

  1. Is this Service Animal required because of a disability?
  1. What work or task has the Service Animal been trained to perform?

An affirmative answer to the first question and a description of the tasks assigned to the animal completes the requirements for determining eligibility of a Service Animal.  However, if the Service Animal exhibits behavior incongruent with the task the animal is meant to provide or the Handler does not maintain control of the animal, authorized staff should report the incident(s) to the Center for Students with Disabilities or the Human Resources ADA Case Manager, who may then revisit the animal’s presence on campus.

A Service Animal or ESA must be supervised directly by the Handler, and the Handler must retain full control of the animal at all times while on University Property.  The animal must be in an animal carrier or controlled by a harness, leash or tether, unless the use of such devices would interfere with the animal’s work, or the animal is within the Handler’s dwelling. In those cases, the Handler must maintain control via voice, signal, or other effective designated controls.

Animals may not be left unattended at any time on University Property, except for Service Animals left in the Handler’s University residence or private office space or ESAs left in the Handler’s dwelling unit.  The Service Animal or ESA may be left unattended only for reasonable periods of time, as determined by the appropriate University staff based on the totality of the circumstances. The University may request impoundment of an ESA or Service Animal left for longer than a reasonable period of time. Owners of impounded animals will be held responsible for payment of any impound and/or license fees required to secure the release of their animals.

A Handler who leaves their Service Animal or ESA unattended for longer than a reasonable period of time will receive one warning, and if the behavior occurs a second time, the University reserves the right to require the Handler to remove the animal from campus and to prohibit the animal from being permitted back onto University Property.

All Handlers are responsible for compliance with state and local laws concerning animals (including registration, vaccinations, and tags), for controlling their animals, for cleaning up any waste created by the animal, and for any damage caused by the animal to individuals or property while on University Property.

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

UConn Health Animals in the Clinical Practice Policy

REFERENCES

Animals on Campus FAQs

The Americans with Disabilities Act governs the use of Service Animals by individuals with disabilities. See 42 U.S.C. § 12101, et seq.

The Fair Housing Act governs the use of Emotional Support Animals (ESA’s) by individuals with disabilities in housing. See 42 U.S.C. § 3601, et seq.

Connecticut state law regarding Service Animals may be found under C.G.S. § 46a-44.

POLICY HISTORY

Policy created: 06/09/2017

Revisions: 05/01/2019, 05/10/2024

                             

Media and Mass Communication, Policy on

Title: Policy on Media and Mass Communication
Policy Owner: University Communications
Applies to: Faculty, Staff, and Student Employees
Campus Applicability: All Campuses, including UConn Health
Approval Date: December 19, 2023
Effective Date: December 19, 2023
For More Information, Contact: Vice President for Communications
Contact Information: 860-486-0871
Official Website: https://universitycommunications.uconn.edu/

BACKGROUND

The University of Connecticut (“the University” or “UConn”) needs to be able to communicate accurately, effectively and consistently with a variety of diverse audiences including the media. University Communications is the institution’s primary voice and official liaison to the news media. It is responsible for initiating, developing and maintaining effective, productive and beneficial relations with the news media in communicating University news and in responding to media requests. University Communications is responsible for coordinating and delivering official University comment on all matters regarding the institution internally and through mainstream and social media. This includes both proactive statements, interactions, and responses to requests. University Communications is responsible for disseminating and pitching news stories, responding to media inquiries, arranging interviews and visual productions, and handling requests for distribution of information on behalf of the University’s main campus in Storrs, UConn Health and all campus locations and programs.

PURPOSE

The purpose of this policy is to gather the University’s existing policies regarding institutional and employee communication via mainstream and social media outlets and platforms into one accessible statement while reaffirming the University’s continuing commitment to the principles of academic freedom.  It incorporates policies on three distinct but related situations:

  1. Official University Position Statements or Responses
  2. Mass Communications Associated with News or Events
  3. Requests to Faculty Regarding Subject Matter Expertise
  4. Personal Speech

APPLIES TO

This policy applies to all University employees including administration, faculty, staff and student employees, employees at all campuses including the University’s main campus in Storrs, UConn Health, the regional campuses, and the School of Law. It applies to all employees in all programs wherever located. The policy applies to employees when they are acting in their capacity as employees of the University, including when they are asked questions.

POLICY STATEMENT

  1. Official University Position Statements or Responses

All inquiries seeking an official University response or a statement on behalf of the University should be directed to the University spokesperson within University Communications. All inquiries seeking an official response or statement specific to UConn Health and its clinical and academic areas should be directed to the UConn Health spokesperson.

Authorization to speak on behalf of the University may only be given by the President or the Vice President for Communications. No organizational unit, faculty, or staff member may make official position statements on behalf of the University without consultation with, and express authorization from, the President or University Communications. This includes posting of such statements on University-administered and branded website and social media platforms.

University Communications will coordinate any University responses with appropriate members of the University and UConn Health communities, and should be consulted on any potential statements or responses being considered by an organizational unit.

Any employee who has not been authorized by the President or University Communications to speak to the media in the context of his or her role as a University employee must direct inquiries from the media about the official University comment on all matters regarding the institution to the University spokesperson.

No employee is authorized to speak “off the record” on behalf of the University to media on any matter pertaining to the University.

University employees must adhere to relevant UConn policies as well as all federal, state and local laws and policies regarding the release of information about activities of the University, or its employees, students, volunteers, patients or research subjects, including those that apply to privacy and patient confidentiality such as HIPAA and FERPA.

  1. Mass Communications Associated with News or Events

The University will only on rare occasions send leadership mass emails and social media messages about news and events in the nation and world. Those rare occasions will include external tragedies or sensitive issues that have become dominant challenges in the daily lives of our communities at large.

Tragedies or concerns that affect individuals or groups unfortunately occur with great frequency. A practice of emailing after every major news issue or event is not practical. Selecting some issues or events and not others is exclusionary and lacks consistency. In addition, mass email is a poor vehicle for processing complex and painful topics, and university stakeholders have different perspectives about how tragedies and impacts to people should be described.

A singular mass message provides only one-way communication to thousands of individuals and is a poor replacement for other modes of communication that allow for better engagement for understanding, empathy and support for those impacted. Such messages also can be seen as lacking action or sincerity, and frequent messages about national and global tragedies can heighten fears or mental stress. They also can de-sensitize audiences to such messages from leadership, or even polarize the community.

Decisions and authorization on sending mass communications regarding such subjects ultimately rest with the President and/or the Vice President for Communications. Guidelines and best practices for engaging the campus community in these situations can be found here.

  1. Requests to Faculty and Staff Regarding Subject Matter Expertise 

UConn is proud of its faculty and staff, and their expertise and scholarship in a vast array of subjects and disciplines. Many senior administrators and staff also have expertise. Individual faculty, administrators and staff experts are encouraged to provide subject-specific commentary based on their scholarship in their academic concentration or their expertise in their professional field. This includes athletic coaches and staff on matters related to university athletic contests and team- or program-related matters.

When offices and/or individuals are contacted for their scholarly or professional expertise, they are encouraged and expected to notify University Communications that a media representative has made contact. University Communications facilitates accurate, ethical and timely news coverage of significant programs and the achievements of faculty, administrators, staff, students and alumni. University Communications is available at all times to consult with administrators, faculty and staff about the most effective ways to work with the media.

Any questions that fall outside of a faculty member’s academic interest or expertise should involve consultation with the University spokesperson, who can be a resource in these instances. Questions also may be referred to the University spokesperson for direct handling. Inquiries seeking an official University comment must be directed to the University spokesperson.

If a faculty or staff member is unsure of whether a question or request for comment from the media concerns the faculty or staff member’s area of expertise or seeks an official University position, University Communications must be consulted.

  1. Personal Speech

Nothing in this policy is intended to restrict the freedom of faculty and staff members to engage in their scholarly activities or their personal involvement in community activities. Nothing in this policy is intended to affect individual employees’ rights to express personal opinions on University or non-University actions and policies. Nothing in this policy is intended to restrict faculty or staff members from commenting on matters of public concern implicating an employer’s official dishonesty, deliberately unconstitutional action, other serious wrongdoing or threats to health and safety. When speaking or writing as a citizen, an employee should be accurate, should exercise appropriate restraint, should show respect for the opinions of others, should not use University media or information technology (email) platforms, and should make every effort to indicate that he/she does not speak for the institution.

The University reaffirms its continuing commitment to the principles of academic freedom and its protections as set forth in Article XIV of the Laws and By-Laws of the University of Connecticut and the right to freedom of speech protected by the United States and Connecticut Constitutions.

ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University Bylaws, General Rules of Conduct for All University Employees, Office of Student Financial Aid Services – Student Employment Guide, applicable collective bargaining agreements, and any other applicable University policies and procedures.

POLICY HISTORY

Policy created: 05/05/2017 (Approved by the President’s Cabinet)
Revisions: 12/19/2023 (Approved by Senior Policy Council and the President)

      Lactation Policy

      Title: UConn Lactation Policy
      Policy Owner: Human Resources and Office of Institutional Equity
      Applies to: Employees, Graduate Assistants, Students
      Campus Applicability: All Campuses, Including UConn Health
      Effective Date: 12/20/2016
      For More Information, Contact Human Resources and Student Health Services/Student Services
      Contact Information: Storrs/Regionals: (860) 486-3034 (HR) and (860) 486-0765 (SHS)
      UConn Health: (860) 679-2426 (HR and (860) 679-1364 (Student Services Center)
      Official Website: http://hr.uconn.edu/worklife/


      Reason for Policy

      The purpose of this policy is to provide employees and students who are breastfeeding a private place and reasonable break time to express breast milk for their nursing child.  This policy is in accordance with relevant laws and regulations regarding breastfeeding in the workplace.

      Applies to

      All breastfeeding employees and students on the Storrs, UConn Health and Regional campuses.

      Definitions:

      Lactation Area: A space on the University of Connecticut campus that is either dedicated or temporarily established to accommodate the needs of those who are breastfeeding. The room must be a clean, private (the ability to be shielded from view and free from intrusion), comfortable space with electrical outlet, chair, table for breast pump, and nearby access to clean running water.

      Lactation Breaks: Breaks during the work day for employees who have requested lactation accommodations.

      Policy Statement

      The University of Connecticut is committed to providing a supportive environment that enables employees and students to express breast milk in a private place, with reasonable break time and in a location within five minutes of their work and study areas.

      Consistent with Connecticut Laws (Chapter 939, Section 53-34b and Chapter 814c, Section 46a-64), a person may breastfeed their infant in any public or private location on campus where they and their child are authorized to be. This includes all campus locations open to the public and other campus locations where infants are allowed.

      Additionally, Connecticut law (Connecticut General Statutes, Section 31-40w) Breastfeeding in the Workplace states that employers must allow employees to breastfeed or express breast milk at work.

      Consistent with federal law, the University of Connecticut shall provide to employee breastfeeding persons reasonable break time (“lactation break”) as well as space that is shielded from view and free from intrusion in order to breastfeed their infants or to express breast milk.

      The University of Connecticut prohibits discrimination, harassment, and retaliation against breastfeeding persons who exercise their rights under this policy.  For more information, see University Policy Against Discrimination, Harassment and Related Interpersonal Violence.

      Enforcement

      Violations of this policy may result in appropriate disciplinary measures in accordance with University Policies and applicable collective bargaining agreements.

      Policy History

      Adopted 12/20/2016 (Approved by President’s Cabinet)

      Procedures

      Storrs and Regional Campuses: UConn Lactation Procedures

      UConn Health: UConn Health Lactation Procedures

       

      Policy on Endorsements

      Title: Policy on Endorsements
      Policy Owner: University Communications
      Applies to: Faculty, Staff, Students, Others
      Campus Applicability: All Campuses
      Effective Date:  September 1, 2016
      For More Information, Contact University Communications
      Contact Information: (860) 486-3530
      Official Website: http://communications.uconn.edu/

      The University of Connecticut is committed to achieving excellence in research, graduate and undergraduate education, teaching and engagement.  The University has attracted national and international recognition for many successes across a wide range of disciplines.  As the University continues to grow and build on its many successes, members of the UConn community and external entities will continue to seek to associate themselves with UConn.

      As Connecticut’s flagship public university, the University must ensure that it associates itself with individuals, groups and organizations who share its values.  All units and employees of the University are responsible for ensuring that the University’s reputation and image are not affected by an improper external affiliation.

      The University’s Bylaws prohibit units and groups within the University, including at UConn Health and regional campuses, clinics, and centers, from authorizing any individual, group or organization that is not affiliated with the University to use the name of the University without the approval of the President or the President’s designee. Typically requests to use the name of the University come from businesses wishing to promote the nature of their business relationship with the University or from individuals, groups or organizations wishing to be recognized as a sponsor of the University or any of its activities.

      This requirement also applies to UConn employees and units at all locations. No employee or unit may endorse or promote a third-party business interest in the public domain in connection with their employment or service to the University without approval. This requirement includes providing quotes to or participating in interviews with a third-party about its product or service that would be used publicly.

      If you receive this type of request, or anything similar, you are required to notify University Communications for review.

      POLICY HISTORY

      Original Approval: February 3, 2016
      Effective Date: September 1, 2016
      Revision Approved by the President’s Cabinet: April 5, 2019

      Protection of Minors and Reporting of Child Abuse and Neglect Policy

      Title: Protection of Minors and Reporting of Child Abuse and Neglect, Policy on
      Policy Owner: Department of Human Resources
      Applies to: All personnel associated with the University including faculty, staff, volunteers, graduate and undergraduate students, interns, residents and fellows.
      Campus Applicability: All University campuses including Storrs, regional campuses, the Law School and UConn Health (University)
      Effective Date: August 9, 2018
      For More Information, Contact Minor Protection Coordinator / Department of Human Resources
      Contact Information: (860) 486-4510
      Official Website: http://hr.uconn.edu/minor-protection

      1.  Reason for Policy

      The University of Connecticut is committed to promoting a high quality, secure and safe environment for minors who are active in the University community. This policy and the accompanying procedures establish consistent standards intended to support the University in meeting its commitments to promote protection of minors who participate in activities sponsored by the University and to inform all members of the University community of their obligation to report any instances of known or suspected child abuse or neglect.

      2.  Applies to

      This policy applies to all University employees, including faculty, staff, volunteers, graduate and undergraduate students, interns, residents and fellows. Except as provided below, it also applies to any activity that takes place on University property or is sponsored by the University and is open to the participation of minors.

      This policy does not apply to: (1) events open to the public where parents/guardians or adult chaperones are expected to accompany and supervise their children; (2) undergraduate and graduate programs in which minors are enrolled for academic credit or have been accepted for enrollment for academic credit; (3) students who are dually enrolled in University credit-bearing courses while also enrolled in elementary, middle, and/or high school, UNLESS such enrollment includes overnight housing in University facilities; (4) minors employed by the University; (5) field trips or visits to the University that are solely supervised by a minor’s school or organization; (6) patient-care related activities relating to minors; (7) non-University programs undertaking activities in or on University land or facilities under the sole supervision of said program; (8) University programs that take place outside of the University under the supervision of a separate organization; (9) licensed child care facilities; and (10) other activities granted advance and written exemption from part or all of this policy.

      3.  Definitions[1]

      A. Authorized Adult: A University employee, student, or volunteer (paid or unpaid) who has (1) successfully passed a Background Screening within the last four years, (2) completed the University minor’s protection training within the last year, and (3) has been registered with the University’s Minor Protection Coordinator.

      B. University Sponsored Activities Involving Minors: A program or activity open to the participation of minors that is sponsored, operated, or supported by the University and where minors, who are not enrolled or accepted for enrollment in credit-granting courses at the University or who are not an employee of the University, are under the supervision of the University or its representatives.

      C. Background Screening: A criminal history search that is consistent with University criminal background check policies and that has been successfully completed within the past four years. Such criminal history search must include the following searches by a nationally recognized background check vendor:

      i.    Social Security Number verification/past address trace;

      ii.   federal criminal history record search for felony and misdemeanor convictions covering, at minimum, the last seven years in all states lived in;

      iii.   a statewide or county level criminal history record search for felony and misdemeanor convictions covering, at minimum, the last seven years in all states lived in; an;

      iv.   sex offender registry searches at the county level in every jurisdiction where the candidate currently resides or has resided.

      D. Child Abuse: A non-accidental physical injury to a minor, or an injury that is inconsistent with the history given of it, or a condition resulting in maltreatment. Examples include but are not limited to, malnutrition, sexual molestation or exploitation, deprivation of necessities, emotional maltreatment, or cruel punishment.

      E. Child Neglect: The abandonment or denial of proper care and attention (physically, emotionally, or morally) of a minor, or the permitting of a minor to live under conditions, circumstances, or associations injurious to the minor’s well-being.

      F. Minor: Any individual under the age of 18, who has not been legally emancipated.

      G. Mandated Reporter: An individual designated by the Connecticut law as required to report or cause a report to be made of Child Abuse or Child Neglect. All employees of the University, except student employees, are Mandated Reporters under state law.

      H. Minor Protection Coordinator: An individual designated by the University to develop procedures to implement this policy and best practices for the protection of minors involved in University Sponsored Activities Involving Minors, and to provide coordination, training, and monitoring in order to promote the effective implementation of this policy.

      4.  Reporting Child Abuse/Neglect

      Pursuant to state law, all University employees (except student employees) are Mandated Reporters of Child Abuse and/or Child Neglect and must comply with the reporting requirements in Connecticut’s mandated reporting laws. See Conn. Gen. Stat. §§17a-101a to 17a-101d.

      Connecticut state law, requires that reports of known or suspected child abuse or neglect be made orally, as soon as possible (but no later than 12 hours), to law enforcement or the Connecticut Department of Children and Families (DCF), and followed up in writing within 48 hours.

      DCF’s 24-hour hotline for reporting suspected Child Abuse or Child Neglect is (800) 842-2288, and additional guidance on these reporting requirements may be found here:

      https://portal.ct.gov/DCF/1-DCF/Reporting-Child-Abuse-and-Neglect (Last accessed July 23, 2018).

      University employees are protected under state law for the good faith reporting of suspected Child Abuse or Child Neglect, even if a later investigation fails to substantiate the allegations.

      In addition to this statutory reporting requirement, University employees must also comply with any other University policies that impose additional reporting obligations, such as the Policy Against Discrimination, Harassment, and Related Interpersonal Violence.

      5.  Requirements for University Sponsored Activities Involving Minors

      To better protect Minors participating in activities sponsored by the University, all University Sponsored Activities Involving Minors must meet the following requirements, in addition to any applicable federal, state, or local law, and all University policies. Please Note: A more comprehensive description of the following requirements are detailed in the accompanying procedures.

      A.   University Sponsored Activities Involving Minors must register with the University’s Minor Protection Coordinator with sufficient advance notice to confirm the requirements of this policy have been met.

      B.   No individual, paid or unpaid, shall be allowed to supervise, chaperone, or otherwise oversee any Minor who participates in University Sponsored Activities Involving Minors unless he or she is an Authorized Adult.

      C. All University Sponsored Activities Involving Minors must implement standards to safeguard the welfare of participating Minors. At minimum, all University Sponsored Activities Involving Minors must implement and comply with University standards of conduct included in the accompanying procedures.

      D. All University Sponsored Activities Involving Minors are subject to periodic audits to verify compliance with this policy and the accompanying procedures.

      E. Any exceptions to these requirements must be requested with sufficient notice and approved in writing by the Minor Protection Coordinator, in consultation with Minor Protection Oversight Committee prior to the start of program operations.

      6.  Enforcement

      Violations of this policy and accompanying 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 applicable Student Code.

      Policy History

      Policy Created: April 1, 2016 [Approved by the President’s Cabinet]

      Revisions:  August 9, 2018

      Procedures

      Procedures for the Protection of Minors and Reporting of Child Abuse and Neglect can be found at: http://minorprotection.uconn.edu/wp-content/uploads/sites/1652/2016/03/Procedures-for-the-Protection-of-Minors-and-Reporting-of-Child-Abuse-and-Neglect.pdf. 

       

      Footnotes

      [1] Several of these definitions are adapted in whole or in part from the Connecticut General Statutes. See Conn. Gen. Stat. § 120. For additional guidance from the Connecticut Department of Children and Family Services about the definitions of child abuse and neglect, see https://portal.ct.gov/DCF/1-DCF/Reporting-Child-Abuse-and-Neglect. (Last accessed 7/23/2018.) Back

      Policy Against Discrimination, Harassment, and Related Interpersonal Violence

      Including Sexual and Gender-Based Harassment, Sexual Assault, Sexual Exploitation, Intimate Partner Violence, Stalking, Complicity, Retaliation and Inappropriate Amorous Relationships

       

      Title: Policy Against Discrimination, Harassment, and Related Interpersonal Violence
      Policy Owner: The Office of Institutional Equity
      Applies to: Students, All Employees, Contractors, Vendors, Visitors, Guests and Other Third Parties
      Campus Applicability: All campuses, including UConn Health
      Approval Date: August 30, 2023
      Effective Date: August 31, 2023
      For More Information, Contact: Office of Institutional Equity
      Contact Information: (860) 486-2943 & (860) 679-3563
      Official Website: http://www.equity.uconn.edu and http://titleix.uconn.edu/

      Click here to view a PDF, Printer Friendly copy of this policy.

      Related Documents:


      1. STATEMENT OF POLICY
      2. TO WHOM THIS POLICY APPLIES
      3. APPLICABLE PROCEDURES UNDER THIS POLICY
        1. WHERE THE RESPONDENT IS A STUDENT
        2. WHERE THE RESPONDENT IS AN EMPLOYEE
        3. WHERE THE RESPONDENT IS BOTH A STUDENT AND AN EMPLOYEE
        4. WHERE THE RESPONDENT IS A THIRD PARTY
        5. WHERE THE RESPONDENT IS A UCONN HEALTH STUDENT, EMPLOYEE OR THIRD PARTY
        6. WHERE THE RESPONDENT IS A REGISTERED STUDENT ORGANIZATION
      4. TITLE IX COORDINATOR
      5. UNDERSTANDING THE DIFFERENCE BETWEEN PRIVACY AND CONFIDENTIALITY
      6. EMPLOYEE REPORTING RESPONSIBILITIES
        1. TITLE IX REPORTING OBLIGATIONS
        2. CLERY REPORTING OBLIGATIONS
        3. CHILD ABUSE REPORTING OBLIGATIONS
      7. ENCOURAGEMENT TO REPORT PROHIBITED CONDUCT
      8. COMPLAINANT OPTIONS FOR REPORTING PROHIBITED CONDUCT
        1. REPORTING TO LAW ENFORCEMENT
        2. REPORTING TO THE UNIVERSITY
      9. ACCESSING CAMPUS AND COMMUNITY RESOURCES AND SUPPORTIVE MEASURES
      10. PROHIBITED CONDUCT UNDER THIS POLICY
        1. DISCRIMINATION
        2. DISCRIMINATORY HARASSMENT
        3. SEXUAL OR GENDER-BASED HARASSMENT
        4. SEXUAL ASSAULT
        5. SEXUAL EXPLOITATION
        6. INTIMATE PARTNER VIOLENCE
        7. STALKING
        8. RETALIATION
        9. COMPLICITY
      11. INAPPROPRIATE AMOROUS RELATIONSHIPS
        1. INSTRUCTIONAL/STUDENT CONTEXT
        2. EMPLOYMENT CONTEXT
      12. PREVENTION, AWARENESS AND TRAINING PROGRAMS
      13. OBLIGATION TO PROVIDE TRUTHFUL INFORMATION
      14. RELATED POLICIES
        1. STUDENTS
        2. EMPLOYEES AND THIRD PARTIES
      15. ENFORCEMENT
      16. POLICY REVIEW

       

      I. STATEMENT OF POLICY

      The University of Connecticut (the “University”) is committed to maintaining a safe and non- discriminatory learning, living, and working environment for all members of the University community – students, employees, and visitors. Academic and professional excellence can exist only when each member of our community is assured an atmosphere of safety and mutual respect. All members of the University community are responsible for the maintenance of an environment in which people are free to learn and work without fear of discrimination, discriminatory harassment or interpersonal violence. Discrimination diminishes individual dignity and impedes equal employment and educational opportunities.

      The University does not unlawfully discriminate in any of its education or employment programs and activities on the basis of an individual’s actual or perceived race, color, ethnicity, religious creed, age, sex, marital status, national origin, ancestry, sexual orientation, genetic information, physical or mental disability (including learning disabilities, intellectual disabilities, and past or present history of mental illness), veteran’s status, status as a victim of domestic violence, prior conviction of a crime, workplace hazards to the reproductive system, gender identity or expression, or membership in any other protected classes as set forth in state or federal law. To that end, this Policy Against Discrimination, Harassment and Related Interpersonal Violence, Including Sexual and Gender- Based Harassment, Sexual Assault, Sexual Exploitation, Intimate Partner Violence, Stalking, Complicity, Retaliation and Inappropriate Amorous Relationships (the “Policy Against Discrimination” or “Policy”) prohibits specific forms of behavior that violate state and federal laws, including but not limited to Titles VI and VII of the Civil Rights Act of 1964 (“Title VI”) and (“Title VII”), Title IX of the Education Amendments of 1972 (“Title IX”), the Violence Against Women Reauthorization Act of 2013 (“VAWA”), the Pregnant Workers Fairness Act , and related state and federal anti-discrimination laws. Such behavior may also require the University to fulfill certain reporting obligations under the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (the “Clery Act”), as amended by VAWA, and Connecticut state law regarding reporting suspected child abuse and neglect.

      The University prohibits discrimination, as well as discriminatory harassment, sexual assault, sexual exploitation, intimate partner violence, stalking, sexual or gender-based harassment, complicity in the commission of any act prohibited by this Policy, retaliation against a person for the good faith reporting of any of these forms of conduct or participation in any investigation or proceeding under this Policy (collectively, “Prohibited Conduct”[1]). These forms of Prohibited Conduct are unlawful and undermine the mission and values of our academic community. In addition, engagement in or pursuit of inappropriate amorous relationships with employees in positions of authority can undermine the University’s mission when those in positions of authority abuse or appear to abuse their authority.

      The University adopts this Policy with a commitment to: (1) eliminating, preventing, and addressing the effects of Prohibited Conduct; (2) fostering a safe and respectful University community; (3) cultivating a climate where all individuals are well-informed and supported in reporting Prohibited Conduct; (4) providing a fair and impartial process for all parties in the investigation and resolution of such reports; and (5) identifying the standards by which violations of this Policy will be evaluated and disciplinary action may be imposed. In addition, the University conducts ongoing prevention, awareness, and training programs for employees and students to facilitate the goals of this Policy.

      A student or employee determined by the University to have committed an act of Prohibited Conduct is subject to disciplinary action, up to and including separation from the University. Third Parties who commit acts of Prohibited Conduct may have their relationships with the University terminated and/or their privileges of being on University premises withdrawn. Registered Student Organizations that commit acts of prohibited conduct may have their registration revoked or be subject to other sanctions.

      It is the responsibility of every member of the University community to foster an environment free of Prohibited Conduct. All members of the University community are encouraged to take reasonable and prudent actions to prevent or stop an act of Prohibited Conduct. The University will support and assist community members who take such actions.

      Retaliation against any individual who, in good faith, reports or participates in the reporting, investigation, or adjudication of Prohibited Conduct is strictly forbidden.

      This Policy applies to all reports of Prohibited Conduct occurring on or after the effective date of this Policy. Where the date of the Prohibited Conduct precedes the effective date of this Policy, the definitions of misconduct in effect at the time of the alleged incident(s) will be used.

       

      II. TO WHOM THIS POLICY APPLIES

      This Policy applies to: students as defined in UConn’s Responsibilities of Community Life: The Student Code and students enrolled at UConn Health (“Students”); University employees, consisting of all full-time and part-time faculty, University Staff (including special payroll employees), UConn Health employees (including residents and fellows), professional research staff, and post-doctoral research associates (“Employees”); contractors, vendors, visitors, guests or other third parties (“Third Parties”); and Registered Student Organizations as defined in Blueprints: The Official Handbook of RSOs at the University of Connecticut (“Registered Student Organizations”). This Policy pertains to acts of Prohibited Conduct committed by or against Students, Employees, Third Parties, and Registered Student Organizations when:

      1. the conduct occurs on campus or other property owned or controlled by the University;
      2. the conduct occurs in the context of a University employment or education program or activity, including, but not limited to, University-sponsored study abroad, research, on-line, or internship programs; or
      3. the conduct occurs outside the context of a University employment or education program or activity, but has continuing adverse effects on or creates a hostile environment for Students, Employees or Third Parties while on campus or other property owned or controlled by the University or in any University employment or education program or activity.

       

      III. APPLICABLE PROCEDURES UNDER THIS POLICY

      The specific procedures for reporting, investigating, and resolving Prohibited Conduct are based upon the nature of the respondent’s relationship to the University (Student, Employee, or Third Party). Each set of procedures referenced below is guided by the same principles of fairness and respect for complainants and respondents. “Complainant” means the individual who presents as the victim of any Prohibited Conduct under this Policy, regardless of whether that person makes a report or seeks action under this Policy.[2] “Respondent” means the individual who has been accused of violating this Policy.

      The procedures referenced below provide for prompt and equitable response to reports of Prohibited Conduct. The procedures designate specific timeframes for major stages of the process, provide for thorough and impartial investigations that afford the Complainant and Respondent notice and an opportunity to present witnesses and evidence, and assure equal and timely access to the information that will be used in determining whether a Policy violation has occurred. The University applies the Preponderance of the Evidence standard when determining whether this Policy has been violated. “Preponderance of the Evidence” means that it is more likely than not that a Policy violation occurred.

      A. WHERE THE RESPONDENT IS A STUDENT

      Except as noted in Section IIIE, below, the procedures for responding to reports of Prohibited Conduct committed by Students are detailed in Responsibilities of Community Life: The Student Code (“The Student Code”) (http://community.uconn.edu/the-student-code-preamble/).

      B. WHERE THE RESPONDENT IS AN EMPLOYEE

      The procedures for responding to reports of Prohibited Conduct committed by Employees are detailed in OIE’s Complaint Processes (https://equity.uconn.edu/policiesprocedures/).

      C. WHERE THE RESPONDENT IS BOTH A STUDENT AND AN EMPLOYEE

      Each situation will be evaluated for context and the University will determine which of the procedures applies based on the facts and circumstances (such as which role predominates in the context of the alleged Prohibited Conduct). The Student- Respondent procedures typically will apply to graduate students except in those cases where the graduate student’s assistantship role predominated in the context of the Prohibited Conduct. Further, where a Respondent is both a Student and an Employee (including but not limited to graduate students), the Respondent may be subject to any of the sanctions applicable to Students or Employees.

      D. WHERE THE RESPONDENT IS A THIRD PARTY

      The University’s ability to take appropriate corrective action against a Third Party will be determined by the nature of the relationship of the Third Party to the University. The University will determine the appropriate manner of resolution consistent with the University’s commitment to a prompt and equitable process under federal law, federal guidance, and this Policy.

      E. WHERE THE RESPONDENT IS A UCONN HEALTH STUDENT, EMPLOYEE OR THIRD PARTY

      Parties should contact the UConn Health Office of Institutional Equity by calling (860) 679-3563 or email: equity@uconn.edu. UConn’s Responsibilities of Community Life: The Student Code does not apply to students enrolled in MD or DMD/DDS degree programs at UConn Health.

      F. WHERE THE RESPONDENT IS A REGISTERED STUDENT ORGANIZATION

      The procedures for responding to reports of Prohibited Conduct committed by Registered Student Organizations are set out in Blueprints: The Official Handbook of RSOs at the University of Connecticut (https://solid.uconn.edu/wp-content/uploads/sites/471/2014/05/Blueprints-2022-2023-1.pdf).

       

      IV. TITLE IX COORDINATOR

      Under Title IX:

      No person in the United States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any education program or activity receiving federal financial assistance.

      The Title IX Coordinator is charged with monitoring the University’s compliance with Title IX, ensuring appropriate education and training, coordinating the University’s investigation, response, and resolution of all reports under this Policy, and ensuring appropriate actions to eliminate Prohibited Conduct, prevent its recurrence, and remedy its effects. The Office of Institutional Equity oversees reports involving Students, Employees, and Third Parties. The University has also designated Deputy Title IX Coordinators who may assist the Title IX Coordinator in the discharge of these responsibilities. The Title IX Coordinator and Deputy Title IX Coordinators receive ongoing appropriate training to discharge their responsibilities.

      Concerns about the University’s application of Title IX may be addressed to the Title IX Coordinator. Additionally, concerns about the University’s application of Title VII and/or other federal and state anti-discrimination laws may be addressed to the Office of Institutional Equity.

      The Title IX Coordinator and Deputy Title IX Coordinators can be contacted by telephone, email, or in person during regular office hours:

      Sarah Chipman
      Interim Associate Vice President, Director of Equity Response & 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

      Cameron Liston
      Title IX Coordinator, Office of Institutional Equity
      Storrs: Wood Hall, First Floor
      UConn Health: Munson Road, Third Floor
      cameron.liston@uconn.edu
      (860) 486-2943

      External reporting options include the United States Department of Education, Clery Act Compliance Team (at clery@ed.gov); the United States Department of Education, Office for Civil Rights (at OCR@ed.gov or (800) 421-3481); the Equal Employment Opportunity Commission (at info@eeoc.gov or (800) 669-4000); and/or the Connecticut Commission on Human Rights and Opportunities (at CHRO.Capitol@ct.gov or (800)-477-5737).

       

      V. UNDERSTANDING THE DIFFERENCE BETWEEN PRIVACY AND CONFIDENTIALITY

      The University is committed to protecting the privacy of all individuals involved in the investigation and resolution of a report under this Policy. The University also is committed to providing assistance to help Students, Employees, Registered Student Organizations, and Third Parties make informed choices. With respect to any report under this Policy, the University will take reasonable efforts to protect the privacy of participants, in accordance with applicable state and federal law, while balancing the need to gather information to assess the report and to take steps to eliminate Prohibited Conduct, prevent its recurrence, and remedy its effects.

      Privacy and confidentiality have distinct meanings under this Policy.

      Privacy: Privacy means that information related to a report of Prohibited Conduct will be shared with University Employees who need to know the information in order to assist individuals identified as having been impacted by the alleged conduct in the assessment, investigation, and resolution of the report. All Employees who are involved in the University’s response to reports of Prohibited Conduct receive specific training and guidance about sharing and safeguarding private information in accordance with state and federal law.

      The privacy of Student education records will be protected in accordance with relevant privacy laws including the Family Educational Rights and Privacy Act (“FERPA”), as outlined in the University’s FERPA policy. (http://policy.uconn.edu/2011/05/24/ferpa-policy/).

      Confidentiality: Confidentiality exists in the context of laws that protect certain relationships, including with medical and clinical care providers (and those who provide administrative services related to the provision of medical and clinical care), mental health providers, counselors, and ordained clergy, all of whom may engage in confidential communications under Connecticut law. The University has designated individuals who have the ability to have privileged communications as “Confidential Employees.” When information is shared by an individual with a Confidential Employee or a community professional with the same legal protections, the Confidential Employee (and/or such community professional) cannot reveal the information to any third party except where required or permitted by law. For example, information may be disclosed when: (i) the individual gives written consent for its disclosure; (ii) there is a concern that the individual will likely cause serious physical harm to self or others; or (iii) the information concerns conduct involving suspected abuse or neglect of a minor under the age of 18.

       

      VI. EMPLOYEE REPORTING RESPONSIBILITIES

      A. TITLE IX REPORTING OBLIGATIONS

      Most University employees are required to immediately report information about certain types of Prohibited Conduct involving any Student to the University’s Office of Institutional Equity.[3] An Employee’s responsibility to report under this Policy is governed by their role at the University. The University designates every Employee as either a Confidential Employee or a Responsible Employee.

      Confidential Employee: Any Employee who is entitled under state law to have privileged communications. Confidential Employees will not disclose information about Prohibited Conduct to the University without the permission of the Student or Employee (subject to the exceptions set forth in the Confidentiality section of this Policy). Confidential Employees at the University of Connecticut include:

      • Student Health and Wellness (limited to Medical Services, Mental Health Services, and Sports Medicine)
      • Employee Assistance Program

      Exempt Employee: An Employee who is neither a Confidential Employee nor a Responsible Employee. Exempt Employees include the Chief Diversity Officer and professional staff within the Office for Diversity and Inclusion, as well as staff within the University’s African American Cultural Center, Asian American Cultural Center, Puerto Rican and Latin American Cultural Center, Women’s Center, Rainbow Center; Ombuds Office; and professional staff within Student Health and Wellness Health Promotion. Exempt Employees will offer Students and Employees information about resources, support and how to report incidents of Prohibited Conduct to law enforcement and the University. Exempt Employees will only report the information shared with them to the University if the student and/or Employee requests that the information be shared (unless someone is in imminent risk of serious harm or a minor). While Exempt Employees do not have the ability to implement supportive measures in response to a disclosure, they will provide information about how Students and Employees may receive such measures.

      Responsible Employee: Any Employee who is not a Confidential Employee or Exempt Employee, and certain categories of student employees. Responsible Employees include (but are not necessarily limited to) Faculty and Staff, Resident Assistants, Post- Doctoral Research Assistants, Graduate Teaching Assistants, Graduate Research Assistants, and any student-employees serving as Campus Security Authorities (CSAs) when disclosures are made to any of them in their capacities as Employees.

      Responsible Employees are required to immediately report to the University’s Office of Institutional Equity all relevant details (obtained directly or indirectly) about an incident of Sexual Assault, Intimate Partner Violence and/or Stalking (as defined in Section IX, below) that involves any Student as a Complainant, Respondent, and/or witness, including dates, times, locations, and names of parties and witnesses.[4] Reporting is required when the Responsible Employee knows (by reason of a direct or indirect disclosure) of such Sexual Assault, Intimate Partner Violence, and/or Stalking. Reporting is required when a student is reported to have been involved in such an incident, regardless of the date, location (on or off campus) or identities of other parties alleged to have been involved in the incident. This manner of reporting may help inform the University of the general extent and nature of allegations of Prohibited Conduct on and off campus so the University can track patterns, evaluate the scope of the problem, formulate appropriate campus-wide responses, and ensure that impacted students are provided with information about reporting options and support resources.

      Responsible Employees are not required to report information disclosed (1) at public awareness events (e.g., “Take Back the Night,” candlelight vigils, protests, “survivor speak-outs” or other public forums in which Students may disclose incidents of Prohibited Conduct; collectively, “Public Awareness Events”); (2) during a Student’s participation as a subject in an Institutional Review Board-approved human subjects research protocol (“IRB Research”); or (3) as part of coursework submitted to an instructor in connection with a course assignment. Even in the absence of such obligation, all Employees are encouraged to contact the Title IX Coordinator if they become aware of information that suggests a safety risk to the University community or any member thereof. The University may provide information about Students’ Title IX and/or other civil rights and about available University and community resources and support at Public Awareness Events, however, and Institutional Review Boards may, in appropriate cases, require researchers to provide such information to all Student subjects of IRB Research.

      Dean, Director, Department Head, and Supervisor Responsibility to Report Prohibited Conduct Where Either the Complainant or the Respondent is an Employee. Under this Policy, Deans, Directors, Department Heads and Supervisors are required to report to the Office of Institutional Equity all relevant details about an incident of Prohibited Conduct[5] (including but not limited to discrimination, discriminatory harassment, sexual harassment, and/or retaliation) where either the Complainant or the Respondent is an Employee. Reporting is required when such Deans, Directors, Department Heads and Supervisors know (by reason of direct or indirect disclosure) or should have known of such Prohibited Conduct.

      All University Employees are strongly encouraged to report to the law enforcement any conduct that could potentially present a danger to the community or may be a crime under Connecticut law.

      B. CLERY REPORTING OBLIGATIONS

      Under the Clery Act, certain University employees are designated as Campus Security Authorities. CSAs generally include individuals with significant responsibility for campus security or student and campus activities. Based on information reported to CSAs, the University includes statistics about certain criminal offenses in its annual security report and provides those statistics to the United States Department of Education in a manner that does not include any personally identifying information about individuals involved in an incident. The Clery Act also requires the University to issue timely warnings to the University community about certain reported crimes that may pose a serious or continuing threat to Students and Employees. Consistent with the Clery Act, the University withholds the names and other personally identifying information of Complainants when issuing timely warnings to the University community.

      C. CHILD ABUSE REPORTING OBLIGATIONS

      All University Employees except student employees are mandated reporters of child abuse or neglect as defined by Connecticut General Statutes Section 17a-101(b) and must comply with Connecticut’s mandated reporting laws. See Connecticut General Statutes Sections 17a-101a to 17a-101d. All University Employees should refer to UConn’s Protection of Minors and Reporting of Child Abuse and Neglect Policy (http://policy.uconn.edu/?p=6754) for detailed definitions and reporting information.

       

      VII. ENCOURAGEMENT TO REPORT PROHIBITED CONDUCT

      Aside from the reporting responsibilities set forth above, all members of the campus community are encouraged to report any conduct which they become aware of and which they believe in good faith to have been a violation of this policy, and as to which they do not have an obligation to report as set forth above.

      This encouragement does not apply to Confidential and Exempt Employees and is subject to limitations necessary to preserve confidentiality and privacy.

       

      VIII. COMPLAINANT OPTIONS FOR REPORTING PROHIBITED CONDUCT

      A Complainant may choose to report to the University and/or to law enforcement when alleged Prohibited Conduct may also constitute a crime under the applicable laws. These two reporting options are not mutually exclusive. Therefore, Complainants may choose to pursue both the University process and the criminal process concurrently. The University will support Complainants in understanding, assessing and pursuing these options.

      The first priority for any individual should be personal safety and well-being. In addition to seeking immediate medical care, the University encourages all individuals to seek immediate assistance from 911, UConn Police, and/or local law enforcement. This is the best option to ensure preservation of evidence. The University also strongly urges that law enforcement be notified immediately in situations that may present imminent or ongoing danger.

      A. REPORTING TO LAW ENFORCEMENT

      Conduct that violates this Policy may also constitute a crime under the laws of the jurisdiction in which the incident occurred. For example, the State of Connecticut criminalizes and punishes some forms of Sexual Assault, Intimate Partner Violence, Sexual Exploitation, Stalking, and Physical Assault. See Title 53a of the Connecticut General Statutes for the State of Connecticut’s Penal Code (https://www.cga.ct.gov/current/pub/title_53a.htm). Whether or not any specific incident of Prohibited Conduct may constitute a crime is a decision made solely by law enforcement. Similarly, the decision to arrest any individual for engaging in any incident of Prohibited Conduct is determined solely by law enforcement and not the University. Such decisions are based on a number of factors, including availability of admissible evidence.

      Complainants have the right to notify or decline to notify law enforcement. In keeping with its commitment to take all appropriate steps to eliminate, prevent, and remedy all Prohibited Conduct, the University urges Complainants (or others who become aware of potential criminal conduct) to report Prohibited Conduct immediately to local law enforcement by contacting:

      1. 911 (for emergencies)
      2. University Police (for non-emergencies):
        1. Storrs and Regional Campuses (860) 486-4800
        2. UConn Health (860) 679-2121
      3. State Police (for conduct occurring off campus in Connecticut) (800) 308-7633

      Police have unique legal authority, including the power to seek and execute search warrants, collect forensic evidence, make arrests, and assist in seeking protective and restraining orders. Although a police report may be made at any time, Complainants should be aware that delayed reporting may diminish law enforcement’s ability to take certain actions, including collecting forensic evidence and making arrests. The University will assist Complainants in notifying law enforcement if they choose to do so. Under limited circumstances posing a threat to health or safety of any University community member, the University may independently notify law enforcement.

      B. REPORTING TO THE UNIVERSITY

      Complainants (or others who become aware of an incident of Prohibited Conduct) are encouraged to report the incident to the University through the following reporting options:

      By contacting the Office of Institutional Equity by telephone, email, or in person during regular office hours (8am-5pm, M-F):

      Office of Institutional Equity (Storrs and Regionals) Wood Hall, First Floor
      241 Glenbrook Road Storrs, Connecticut (860) 486-2943
      equity@uconn.edu
      www.titleix.uconn.edu
      www.equity.uconn.edu

      Office of Institutional Equity (UConn Health) 16 Munson Road, Third Floor
      Farmington, Connecticut (860) 679-3563
      equity@uconn.edu
      www.equity.uconn.edu

      There is no time limit to report Prohibited Conduct to the University under this Policy;[6] however, the University’s ability to respond may diminish over time, as evidence may erode, memories may fade, and Respondents may no longer be affiliated with the University. If the Respondent is no longer affiliated with the University, the University will provide reasonably appropriate remedial measures, assist the Complainant in identifying external reporting options, and take reasonable steps to eliminate Prohibited Conduct, prevent its recurrence, and remedy its effects.

      The University will not pursue disciplinary action against Complainants or witnesses for disclosure of illegal personal consumption of drugs or alcohol where such disclosures are made in connection with a good faith report or investigation of Prohibited Conduct.

       

      IX. ACCESSING CAMPUS AND COMMUNITY RESOURCES AND SUPPORTIVE MEASURES

      The University offers a wide range of resources to provide support and guidance to Students and Employees in response to any incident of Prohibited Conduct. Comprehensive information on accessing University and community resources is contained online at the following sites:

      • Sexual assault, sexual exploitation, intimate partner violence, sexual or gender-based harassment, and stalking: titleix.uconn.edu
      • Discrimination and discriminatory harassment where the Respondent is an Employee or Third Party: equity.uconn.edu
      • Related violations of The Student Code where the Respondent is a Student: community.uconn.edu

      Available resources include, but are not limited to: emergency and ongoing assistance; health, mental health, and victim-advocacy services; options for reporting Prohibited Conduct to the University and/or law enforcement; available support with academics, housing, and employment. For more information about resources and support measures, please visit www.titleix.uconn.edu.

      The University offers a wide range of resources for Students and Employees, whether as Complainants or Respondents, to provide support and guidance throughout the submission, investigation, and resolution of a report of Prohibited Conduct. The University will offer reasonable and appropriate measures to individuals impacted by an allegation of Prohibited Conduct in order to facilitate their continued access to University employment or education programs and activities. These measures may be both remedial (designed to address a Complainant’s safety and well-being and continued access to educational opportunities) or protective (designed to reduce the risk of harm to an individual or community). Remedial and protective measures, which may be temporary or permanent, may include no-contact directives, on-campus residence modifications, academic modifications and support, work schedule modifications, suspension from employment, and pre-disciplinary leave (with or without pay). Remedial measures are available regardless of whether a Complainant pursues a complaint or investigation under this Policy and may continue regardless of the outcome of an investigation if reasonable and appropriate.

      The University will maintain the privacy of any remedial and protective measures provided under this Policy to the extent practicable and will promptly address any violation of the protective measures. The University has the discretion to impose and/or modify any remedial or protective measure based on all available information.

      The University will provide reasonable remedial and protective measures to Third Parties as appropriate and available, taking into account the role of the Third Party and the nature of any contractual relationship with the University.

       

      X. PROHIBITED CONDUCT UNDER THIS POLICY[7]

      Conduct under this Policy is prohibited regardless of the sex, sexual orientation and/or gender identity/expression of the Complainant or Respondent. Prohibited Conduct includes the following specifically defined forms of behavior: Discrimination, Discriminatory Harassment, Sexual or Gender-Based Harassment, Sexual Assault, Sexual Exploitation, Intimate Partner Violence, Stalking, Complicity, and Retaliation.

      A. DISCRIMINATION

      Discrimination is any unlawful distinction, preference, or detriment to an individual that is based upon an individual’s actual or perceived race, color, ethnicity, religious creed, age, sex, marital status, national origin, ancestry, sexual orientation, genetic information, physical or mental disabilities (including learning disabilities, intellectual disabilities, past/present history of a mental disorder), veteran status, status as a victim of domestic violence, prior conviction of a crime, workplace hazards to reproductive systems, gender identity or expression, or membership in other protected classes set forth in state or federal law and that: (1) excludes an individual from participation; (2) denies the individual the benefits of; (3) treats the individual differently; or (4) otherwise adversely affects a term or condition of an individual’s employment, education, living environment or participation in a University program or activity.

      Discrimination may include failing to make good faith efforts to provide reasonable accommodation, consistent with state and federal law and University policy, to persons with disabilities. The University of Connecticut is committed to achieving equal educational and employment opportunity and full participation for persons with disabilities. See Policy Statement: People with Disabilities. (http://policy.uconn.edu/2011/05/24/people-with-disabilities-policy-statement/).

      Discrimination also may include failing to make good faith efforts to provide reasonable accommodations, consistent with state and federal law and University policy, for persons’ sincerely held religious practices or beliefs. The University of Connecticut is committed to providing welcoming and inclusive learning environments and will make good faith efforts to provide reasonable religious accommodations to faculty, staff, and students. See Religious Accommodations Policy (https://policy.uconn.edu/2018/08/01/religious-accommodation-policy/).

      B. DISCRIMINATORY HARASSMENT

      Discriminatory Harassment consists of verbal, physical, electronic, or other conduct based upon an individual’s actual or perceived race, color, ethnicity, religious creed, age, sex, marital status, national origin, ancestry, sexual orientation, genetic information, physical or mental disabilities (including learning disabilities, intellectual disability, past/present history of a mental disorder), veteran status, status as a victim of domestic violence, prior conviction of a crime, workplace hazards to reproductive systems, gender identity or expression, or membership in other protected classes set forth in state or federal law that interferes with that individual’s educational or employment opportunities, participation in a University program or activity, or receipt of legitimately-requested services or benefits. Such conduct is a violation of this Policy when the circumstances demonstrate the existence of either Hostile Environment Harassment or Quid Pro Quo Harassment, as defined below.

      Hostile Environment Harassment: Discriminatory Harassment that is so severe, persistent or pervasive that it unreasonably interferes with, limits, deprives, or alters the conditions of education (e.g., admission, academic standing, grades, assignment); employment (e.g., hiring, advancement, assignment); or participation in a University program or activity (e.g., campus housing, official University list-servs or other University-sponsored platforms), when viewed from both a subjective and objective perspective.

      Quid Pro Quo Harassment: Discriminatory Harassment where submission to or rejection of unwelcome conduct is used, explicitly or implicitly, as the basis for decisions affecting an individual’s education (e.g., admission, academic standing, grades, assignment); employment (e.g., hiring, advancement, assignment); or participation in a University program or activity (e.g., campus housing).

      Discriminatory Harassment may take many forms, including verbal acts, name-calling, graphic or written statements (including the use of cell phones or the Internet), or other conduct that may be humiliating or physically threatening.

      C. SEXUAL OR GENDER-BASED HARASSMENT

      Sexual Harassment is unwelcome conduct of a sexual nature. This may include, but is not limited to, unwanted sexual advances, requests for sexual favors, inappropriate touching, acts of sexual violence, or other unwanted conduct of a sexual nature, whether verbal, non- verbal, graphic, physical, written or otherwise. Such conduct is a violation of this Policy when the conditions for Hostile Environment Harassment or Quid Pro Quo Harassment are present, as defined above.

      Gender-Based Harassment includes harassment based on gender, sexual orientation, gender identity, or gender expression, which may include acts of aggression, intimidation, or hostility, whether verbal or non-verbal, graphic, physical, written or otherwise, even if the acts do not involve conduct of a sexual nature. Such conduct is a violation of this Policy when the conditions for Hostile Environment Harassment or Quid Pro Quo Harassment are present, as defined above.

      Title IX Sexual Harassment[8] includes conduct that occurs on the basis of sex in a University education program or activity in the United States that satisfies one or more of the following:

      • An employee conditioning the provision of an aid, benefit, or service on an individual’s participation in unwelcome sexual conduct (i.e., quid pro quo);
      • Unwelcome conduct determined by a reasonable person to be so severe, pervasive, and objectively offensive that it effectively denies a person equal access to an education program or activity (i.e., hostile environment); or
      • Sexual assault (as defined by Clery Act), or “dating violence,” “domestic violence,” and “stalking” (as defined by Violence Against Women Act).

      D. SEXUAL ASSAULT

      Sexual Assault consists of (1) Sexual Contact and/or (2) Sexual Intercourse that occurs without (3) Consent.

      1. Sexual Contact (or attempts to commit) is the intentional touching of another person’s intimate body parts, clothed or unclothed, if that intentional touching can reasonably be construed as having the intent or purpose of obtaining sexual arousal or gratification.
      2. Sexual Intercourse (or attempts to commit) is any penetration, however slight, of a bodily orifice with any object(s) or body part. Sexual Intercourse includes vaginal or anal penetration by a penis, object, tongue or finger, or any contact between the mouth of one person and the genitalia of another person.
      3. Consent is an understandable exchange of affirmative words or actions, which indicate a willingness to participate in mutually agreed upon sexual activity. Consent must be informed, freely and actively given. It is the responsibility of the initiator to obtain clear and affirmative responses at each stage of sexual involvement. Consent to one form of sexual activity does not imply consent to other forms of sexual activity. The lack of a negative response is not consent. An individual who is incapacitated by alcohol and/or other drugs both voluntarily or involuntarily consumed may not give consent. Past consent of sexual activity does not imply ongoing future consent.

      Consent cannot be given if any of the following are present: A. Force, B. Coercion or C. Incapacitation.

        1. Force is the use of physical violence and/or imposing on someone physically to gain sexual access. Force also includes threats, intimidation (implied threats) and/or coercion that overcome resistance.
        2. Coercion is unreasonable pressure for sexual activity. Coercion is more than an effort to persuade, entice, or attract another person to have sex. Conduct does not constitute coercion unless it wrongfully impairs an individual’s freedom of will to choose whether to participate in the sexual activity.
        3. Incapacitation is a state where an individual cannot make rational, reasonable decisions due to the debilitating use of alcohol and/or other drugs, sleep, unconsciousness, or because of a disability that prevents the individual from having the capacity to give consent. Intoxication is not incapacitation and a person is not incapacitated merely because the person has been drinking or using drugs. Incapacitation due to alcohol and/or drug consumption results from ingestion that is more severe than impairment, being under the influence, drunkenness, or intoxication. The question of incapacitation will be determined on a case-by-case basis. Being intoxicated or incapacitated by drugs, alcohol, or other medication will not be a defense to any violation of this Policy.

      E. SEXUAL EXPLOITATION

      Sexual Exploitation is taking advantage of a person due to their sex and/or gender identity for personal gain or gratification. It is the abuse of a position of vulnerability, differential power, or trust for sexual purposes. Examples include, but are not limited to:

      • Recording, photographing, disseminating, and/or posting images of private sexual activity and/or a person’s intimate parts (including genitalia, groin, breasts, or buttocks) without consent;
      • Threatening to disseminate sensitive personal materials (e.g. photos, videos) by any means to any person or entity without consent;
      • Allowing third parties to observe private sexual activity from a hidden location without consent (for example through a hidden location (e.g., closet) or through electronic means (e.g., Skype or livestreaming of images);
      • Fetish behaviors including stealing articles of clothing for personal gain and/or satisfaction;
      • Manipulation of contraception;
      • Peeping or voyeurism;
      • Prostituting another person;
      • Intentionally or knowingly exposing another person to a sexually transmitted infection or virus without the other’s knowledge; or
      • Possessing, distributing, viewing or forcing others to view illegal pornography.

      F. INTIMATE PARTNER VIOLENCE

      Intimate Partner Violence includes any act of violence or threatened act of violence that occurs between individuals who are involved or have been involved in a sexual, dating, spousal, domestic, or other intimate relationship. Intimate Partner Violence may include any form of Prohibited Conduct under this Policy, including Sexual Assault, Stalking (as defined herein) and/or physical assault. Intimate Partner Violence may involve a pattern of behavior used to establish power and control over another person through fear and intimidation, or may involve one-time conduct. A pattern of behavior is typically determined based on the repeated use of words and/or actions and inactions in order to demean, intimidate, and/or control another person. This behavior can be verbal, emotional and/or physical.

      G. STALKING

      Stalking means engaging in a course of conduct directed at a specific individual that would cause a reasonable person to fear for their safety or the safety of others, or for the individual to suffer substantial emotional distress.

      Stalking includes unwanted, repeated, or cumulative behaviors that serve no purpose other than to threaten, or cause fear for another individual.

      Common stalking acts include, but are not limited to: harassing, threatening or obscene phone calls, excessive and/or threatening communication, following, vandalism of personal property, and/or leaving/giving unwanted gifts or objects. Stalking includes cyberstalking.

      H. RETALIATION

      Retaliation means any adverse action taken against a person for making a good faith report of Prohibited Conduct or participating in any proceeding under this Policy, including requesting supportive measures (remedial and/or protective), for the purpose of interfering with any right or privilege secured by this Policy. Retaliation includes threatening, intimidating, discriminating, harassing, coercing, interfering with potential witnesses or a potential proceeding under this Policy, or any other conduct that would discourage a reasonable person from engaging in activity protected under this Policy.

      Retaliation may be present even where there is a finding of “no responsibility” on the allegations of Prohibited Conduct. Retaliation does not include good faith actions lawfully pursued in response to a report of Prohibited Conduct. In determining whether an act constitutes retaliation, the full context of the conduct will be considered, including the individual right to freedom of speech.

      Retaliation can include, but is not limited to, actions taken by the University, actions taken by one Student against another Student, actions taken by an Employee against another Employee or Student, actions taken by a Registered Student Organization against a Student, or actions taken by a Third Party against a Student or Employee. See the University’s Non-Retaliation Policy (http://policy.uconn.edu/2011/05/24/non- retaliation-policy/).

      I. COMPLICITY

      Complicity is any act taken with the purpose of aiding, facilitating, promoting or encouraging the commission of an act of Prohibited Conduct by another person.

       

      XI. INAPPROPRIATE AMOROUS RELATIONSHIPS

      For the purposes of this Policy, “amorous relationships” are defined as intimate, sexual, and/or any other type of amorous encounter or relationship, whether casual or serious, short-term or long- term.

      A. INSTRUCTIONAL/STUDENT CONTEXT

      All faculty and staff must be aware that amorous relationships with students are likely to lead to difficulties and have the potential to place faculty and staff at great personal and professional risk. The power difference inherent in the faculty-student or staff-student relationship means that any amorous relationship between a faculty or staff member and a student is potentially exploitative or could at any time be perceived as exploitative and should be avoided. Faculty and staff engaged in such relationships should be sensitive to the continuous possibility that they may unexpectedly be placed in a position of responsibility for the student’s instruction or evaluation. In the event of a charge of Sexual Harassment arising from such circumstances, the University will in general be unsympathetic to a defense based upon consent when the facts establish that a faculty- student or staff-student power differential existed within the relationship.

      1. Undergraduate StudentsSubject to the limited exceptions herein, all members of the faculty and staff are prohibited from pursuing or engaging in an amorous relationship with any undergraduate student.
      2. Graduate StudentsWith respect to graduate students (including but not limited to Master’s, Law, Doctoral, Medical, Dental and any other post-baccalaureate students), all faculty and staff are prohibited from pursuing or engaging in an amorous relationship with a graduate student under that individual’s authority. Situations of authority include, but are not limited to: teaching; formal mentoring or advising; supervision of research and employment of a student as a research or teaching assistant; exercising substantial responsibility for grades, honors, or degrees; and involvement in disciplinary action related to the student.Students and faculty/staff alike should be aware that pursuing or engaging in an amorous relationship with any graduate student will limit the faculty or staff member’s ability to teach, mentor, advise, direct work, employ and promote the career of the student involved with them in an amorous relationship.
      3. Graduate Students in Positions of AuthorityLike faculty and staff members, graduate students may themselves be in a position of authority over other students, for example, when serving as a teaching assistant in a course or when serving as a research assistant and supervising other students in research. The power difference inherent in such relationships means that any amorous relationship between a graduate student and another student over whom they have authority (undergraduate or graduate) is potentially exploitative and should be avoided. All graduate students currently or previously engaged in an amorous relationship with another student are prohibited from serving in a position of authority over that student. Graduate students also should be sensitive to the continuous possibility that they may unexpectedly be placed in a position of responsibility for another student’s instruction or evaluation.
      4. Pre-existing Relationships with Any StudentThe University recognizes that an amorous relationship may exist prior to the time a student enrolls at the University or, for amorous relationships with graduate students, prior to the time the faculty or staff member is placed in a position of authority over the graduate student. The current or prior existence of such an amorous relationship must be disclosed to the Office of Institutional Equity by the employee in a position of authority immediately if the student is an undergraduate, and prior to accepting a supervisory role of any type over any graduate student.All faculty and staff currently or previously engaged in an amorous relationship with a student are prohibited from the following unless effective steps have been taken in conjunction with Labor Relations and the applicable dean or vice president to eliminate any potential conflict of interest in accordance with this Policy: teaching; formal mentoring or advising; supervising research; exercising responsibility for grades, honors, or degrees; considering disciplinary action involving the student; or employing the student in any capacity – including but not limited to student employment and internships, work study, or as a research or teaching assistant.Similarly, all graduate students currently or previously engaged in an amorous relationship with another student are prohibited from serving in a position of authority over that student.
      5. If an Amorous Relationship Occurs with Any StudentIf, despite these warnings, a faculty member, staff member, or graduate student becomes involved in an amorous relationship with a student in violation of this Policy, the faculty member, staff member, or graduate student must disclose the relationship immediately to the Office of Institutional Equity. Absent an extraordinary circumstance, no relationships in violation of this Policy will be permitted while the student is enrolled or the faculty or staff member is employed by the University. In most cases, it will be unlikely that an acceptable resolution to the conflict of interest will be possible, and the faculty or staff member’s employment standing or the graduate student’s position of authority may need to be adjusted until they no longer have supervisory or other authority over the student.In addition to the amorous relationship itself, a faculty, staff or graduate student’s failure to report the existence of an inappropriate amorous relationship with a student is also a violation of this Policy. The University encourages immediate self-reporting, and will consider this factor in the context of any resolution that may be able to be reached.

      B. EMPLOYMENT CONTEXT

      Amorous relationships between supervisors and their subordinate employees often adversely affect decisions, distort judgment, and undermine workplace morale for all employees, including those not directly engaged in the relationship. Any University employee who participates in supervisory or administrative decisions concerning an employee with whom they have or has had an amorous relationship has a conflict of interest in those situations. These types of relationships, specifically those involving spouses and/or individuals who reside together, also may violate the State Code of Ethics for Public Officials as well as the University’s Policy on Employment and Contracting for Service of Relatives.

      Accordingly, the University prohibits all faculty and staff from pursuing or engaging in amorous relationships with employees whom they supervise. No supervisor shall initiate or participate in institutional decisions involving a direct benefit or penalty (employment, retention, promotion, tenure, salary, leave of absence, etc.) to a person with whom that individual has or has had an amorous relationship. The individual in a position of authority can be held accountable for creating a sexually hostile environment or failing to address a sexually hostile environment and thus should avoid creating or failing to address a situation that adversely impacts the working environment of others.

      1. Pre-existing Amorous Relationships Between Supervisors and Subordinate EmployeesThe University recognizes that an amorous relationship may exist prior to the time an individual is assigned to a supervisor. Supervisory, decision-making, oversight, evaluative or advisory relationships for someone with whom there exists or previously has existed an amorous relationship is unacceptable unless effective steps have been taken to eliminate any potential conflict of interest in accordance with this Policy. The current or prior existence of such a relationship must be disclosed by the employee in a position of authority prior to accepting supervision of the subordinate employee to the Office of Institutional Equity. Labor Relations and the applicable dean or vice president will determine whether the conflict of interest can be eliminated through termination of the situation of authority. The final determination will be at the sole discretion of the relevant dean or vice president.
      2. If an Amorous Relationship Occurs or has Occurred between a Supervisor and their Subordinate EmployeeIf, despite these warnings, a University employee enters into an amorous relationship with someone over whom they have supervisory, decision-making, oversight, evaluative, or advisory responsibilities, that employee must disclose the existence of the relationship immediately to the Office of Institutional Equity. Labor Relations and the applicable dean or vice president will determine whether the conflict of interest can be eliminated through termination of the situation of authority. The final determination will be at the sole discretion of the relevant dean or vice president. In most cases, it will be likely that an acceptable resolution to the conflict of interest will be possible. If the conflict of interest cannot be eliminated, the supervisor’s employment standing may need to be adjusted. In addition to the amorous relationship itself, a supervisor’s failure to report the existence of the relationship with a subordinate employee is also a violation of this Policy. The University encourages immediate self-reporting, and will consider this factor in the context of any resolution that may be able to be reached.

       

      XII. PREVENTION, AWARENESS AND TRAINING PROGRAMS

      The University is committed to the prevention of Prohibited Conduct through regular and ongoing education and awareness programs. Incoming Students and new Employees receive primary prevention and awareness programming as part of their orientation, and returning Students and current Employees receive ongoing training and related education and awareness programs. The University provides training, education and awareness programs to Students and Employees to ensure broad understanding of this Policy and the topics and issues related to maintaining an education and employment environment free from harassment and discrimination.

      For a description of the University’s Prohibited Conduct prevention and awareness programs, including programs on minimizing the risk of incidents of Prohibited Conduct and bystander intervention, see the University’s annual Clery reports (found online at: http://publicsafety.uconn.edu/police/clery/about-clery/uconn-and-the-clery-act/).

       

      XIII. OBLIGATION TO PROVIDE TRUTHFUL INFORMATION

      All University community members are expected to provide truthful information in any report, investigation, or proceeding under this Policy. Submitting or providing false or misleading information in bad faith or in an effort to achieve personal gain or cause intentional harm to another in connection with an incident of Prohibited Conduct is prohibited and subject to disciplinary sanctions under The Student Code (for Students), The Code of Conduct (for Employees), and any other applicable and appropriate University policy or policies. This provision does not apply to reports made or information provided in good faith, even if the facts alleged in the report are not later substantiated.

       

      XIV. RELATED POLICIES

      A. STUDENTS

      B. EMPLOYEES AND THIRD PARTIES

       

      XV. 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.

      XVI. POLICY REVIEW

      This Policy is maintained by the Office of Institutional Equity (OIE). The University will periodically review and update this Policy and will evaluate, among other things, any changes in legal requirements, existing University resources, and the resolution of cases from the preceding year (including, but not limited to, timeframes for completion and sanctions and remedies imposed).

      REVISIONS:
      07/11/2023 (Approved by the President’s Senior Policy Council)
      04/06/2022 (Approved by the President’s Senior Policy Council)
      08/30/2023 (Approved by the President’s Senior Policy Council)

       

      REFERENCES

      [1] Definitions for all forms of Prohibited Conduct can be found in Section IX of this Policy.

      [2] UConn recognizes that an individual may choose to self-identify as a victim or a survivor. For consistency in this Policy, the University uses the term Complainant to maintain the neutrality of the Policy and procedures.

      [3] Although this Policy is directed primarily to disclosures by Students, as explained herein certain supervisory employees are obligated to report disclosures about all types of Prohibited Conduct involving a University employee.

      [4] While Employees are encouraged to report any form of Prohibited Conduct, only Sexual Assault, Intimate Partner Violence and Stalking must be reported under this Policy.

      [5] These supervisory employees are required to report all forms of Prohibited Conduct where the Complainant or Respondent is an Employee.

      [6] This statement does not relieve Responsible Employees of their obligation to report Sexual Assault, Intimate Partner Violence and/or Stalking involving a Student immediately to the Office of Institutional Equity.

      [7] These definitions may overlap with Connecticut criminal statutes in some cases, and provide greater protection in other instances. Connecticut’s Penal Code may be found in Title 53a of the Connecticut General Statutes. (https://www.cga.ct.gov/current/pub/title_53a.htm)

      [8] University investigations of incidents that meet the Title IX Sexual Harassment Definition will be investigated pursuant to Title IX Sexual Harassment Procedures maintained by the Office of Community Standards (Student-Respondent Title IX Sexual Harassment Procedures: https://community.uconn.edu/sexual-and-gender-misconduct/)  and the Office of Institutional Equity (Employee-Respondent Title IX Sexual Harassment Procedures: https://equity.uconn.edu/policiesprocedures/).

      Export Control and Economic Sanctions Policy

      Title: Export Control and Economic Sanctions Policy
      Policy Owner: Office of the Vice President for Research
      Applies to: Faculty, Staff, Students, Others
      Campus Applicability:  All
      Effective Date: 12/14/2015
      For More Information, Contact Research Compliance Services
      Contact Information: exportcontrol@uconn.edu, or (860) 486-8704
      Official Website: https://ovpr.uconn.edu/services/rics/export-control/

      REASON FOR POLICY

      Export control and economic sanctions regulations aim to protect the national security, foreign policy, and economic interests of the United States.  Export control regulations govern how certain information, technologies, and commodities can be transmitted overseas or to a foreign national on U.S. soil, whereas economic sanctions regulations restrict transactions with certain countries, institutions, and individuals. The scope of the these regulations is broad: they cover exports in virtually all fields of science, engineering, and technology, apply to research activities regardless of the source of funding, and impose restrictions on activities by U.S. persons that occur outside the United States. Failure to comply with these laws can have serious consequences, both for the institution and for the individual researcher. The potential penalties include fines and imprisonment. These laws are collectively referred to as “Export Control Laws.”

      The University of Connecticut (UConn) encourages and supports open research and the free exchange of ideas. Although most university activities and research are exempt from export control laws, UConn engages in activities, research, and the development of new technologies that are subject to Export Control Laws. UConn has established the procedures necessary to ensure the university and its employees remain in full compliance.

      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 UConn Health.

      POLICY STATEMENT

      UConn is committed to compliance with Export Control Laws, including those implemented by the U.S. Department of Commerce through its Export Administration Regulations (EAR), the U.S. Department of State through its International Traffic in Arms Regulations (ITAR), as well as embargo regulations imposed by the U.S. Treasury Department through its Office of Foreign Assets Control (OFAC).

      The Office of the Vice President for Research (OVPR) is the designated authority charged with compliance oversight of the U.S. export control and economic sanctions requirements for UConn and has final authority on such matters. Research Compliance Services, an office within OVPR, is the functional administrative unit charged with the responsibility for oversight of export control and economic sanctions compliance and recordkeeping.

      Individuals acting on behalf of the University, including faculty, staff and students, are responsible for complying with applicable Export Control Laws, including requirements related to international travel, the proper handling, transfer, access, storage, control, and dissemination of export controlled hardware, software, information, technology, and technical data to destinations and persons outside of the U.S., as well as in some cases, to foreign nationals at the university engaging in instruction, conducting research, or providing service activities.

      The University typically conducts fundamental research in basic and applied science or engineering, which is widely and openly published and made available to the scientific and academic community. This allows for the Fundamental Research Exclusion, which means the research results are exempt from Export Control Laws. But Export Control Laws could apply if the research is not considered fundamental research, or if the research has restrictions on publication, foreign national participation, or restricted access to/disclosure of research results.  Please contact Research Compliance Services if you have any questions on whether or not Export Control Laws apply to your particular activity.

      In order to comply with Export Control Laws applicable to international travel, the University will not permit or support travel to any country subject to a comprehensive U.S. Government embargo (as set forth in the UConn International Travel procedure, unless the travel falls within the scope of a license or exception granted by law and is reviewed in advance and approved in writing by the OVPR Senior Export Control Officer under this policy and the export control compliance protocols and procedures available online at: https://ovpr.uconn.edu/services/rics/export-control/.

      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 Code.

      The civil and criminal penalties associated with violating Export Control Laws can be severe, ranging from administrative sanctions including loss of research funding, to monetary penalties, and imprisonment. Anyone found to have engaged in conduct contrary to this policy is subject to disciplinary action by the university up to and including dismissal or expulsion and civil or criminal prosecution.

      PROCEDURES

      Export control compliance protocols and procedures are available online at: https://ovpr.uconn.edu/services/rics/export-control/.

      POLICY HISTORY

      Policy created: 12/14/2015 (Approved by the Vice President for Research)

      Revision History:

      1/12/2016 (Approved and Adopted by the UConn Health Policy Committee)
      7/3/2018 (Non-Substantive edits per the Office of General Counsel)
      9/18/2018 (Non-Substantive edits per the Office of General Counsel)

      Intellectual Property and Commercialization Policy

      Title: Intellectual Property and Commercialization Policy
      Policy Owner: Office of the Vice President for Research
      Applies to: Faculty, Staff, Students
      Campus Applicability: Storrs and Regional Campuses and UConn Health
      Effective Date: September 30, 2015
      For More Information, Contact  Office of the Vice President for Research
      Contact Information:  860-486-3619
      Official Website:  http://research.uconn.edu/ 

       

      Reason for Policy:  The University encourages the development and commercialization of intellectual property invented, created and developed by faculty, students and staff.  Intellectual property generally consists of patents, copyrights, trademarks and trade secrets.  This policy sets out the University’s policies with respect to such intellectual property, including its ownership, protection and commercialization.  The policy is organized as follows: (1) Ownership and Protection of Intellectual Property, (2) Commercialization of Intellectual Property, (3) Income Derived from Intellectual Property, (4) Licensing and New Company Formation, (5) Dealing with Outside Parties, (6) Other Considerations, (7) Exceptions, (8) Enforcement, and (9) Related Policies and Procedures. No policy of this nature can cover every possible scenario but it seeks to provide clarity on intellectual property and commercialization issues.  The Office of the Vice President for Research (“OVPR”) is the entity at the University primarily responsible for implementing and interpreting this Intellectual Property and Commercialization Policy, and is ready to work with faculty, staff and students to explain these policies and make determinations in specific cases.

      Applies to: Faculty, staff and students at the Storrs and Regional Campuses and UConn Health

      1. Ownership and Protection of Intellectual Property

      A. Inventions and Patents.  Under Connecticut state law, the University owns all inventions created by employees in the performance of employment with the University or created with University resources or funds administered by the University (“University Inventions”). An issued patent is a limited grant from the federal government or a foreign government giving the owner of the patent the right to exclude others from practicing the inventions claimed in the patent.

      B. Copyrights.  Copyright protection extends to any original works of authorship fixed in any tangible medium of expression.  A copyright owner possesses a series of exclusive rights, including the exclusive right to reproduce the work, prepare derivative works, distribute copies of the work, perform the work (in some cases) and display the work (in some cases). The University does not claim any product of authorship, unless a contract to the contrary modifies this general rule. If a contract grants ownership of the copyrighted work to an industry sponsor or other outside entity, an employee may be required to acknowledge the grant of ownership as a condition of working on such contract.  If a contract grants ownership of the copyrighted work to the University, the work will be considered a “University Copyright.” In addition, the AAUP Collective Bargaining Agreement and other relevant collective bargaining agreements may contain provisions that allocate copyright ownership and other rights between faculty, staff and the University.

      C. Trademarks.  A trademark is a word, name, symbol or design that helps consumers identify and distinguish the source of a product from the products of others.  Similarly, a service mark is a word, name, symbol or design used by a person providing services to help the public identify and distinguish the source of the services from the service of others. A trade name is a name used to identify a business. The University owns all rights, title and interest in all  trademarks, service marks, trade names and other brand designations that relate to University Intellectual Property (as defined below) or to any University-related program of education, service, public relations, research or training (“University Trademarks”).  University Trademarks may be used only with the express written permission of the University.  Except as stated in Section 3(C), this Policy does not cover the use or licensing of University Trademarks; a link to the University’s trademark licensing procedures can be found in the “Related Policies” section of this Policy.

      D. Trade Secrets.  A trade secret is any formula, pattern, device, method, know how or compilation of information that derives independent economic value from not being known by others, and is the subject of efforts by the owner to maintain its secrecy. The University maintains a number of trade secrets, including but not limited to, unpublished grant proposals, invention disclosures and scientific data for which the University has not applied for patent protection (“University Trade Secrets”). The University will also agree on a limited basis to maintain the trade secrets of its industry partners.

      E. University Intellectual Property or UIP.  For the purposes of this Policy, University Inventions, University Copyrights and University Trade Secrets are referred to as “University Intellectual Property” or “UIP.” As noted above, University Trademarks are covered by a separate policy.

      2. Commercialization

      A. Industry Sponsored Research.  The University is committed to developing industry collaborations and supporting research and development.  The University understands that industry partners have diverse and unique needs, and is committed to providing contract terms and IP rights that meet these needs. Faculty members intending to work with industry partners should contact the OVPR so that different options can be discussed. The University offers many innovative intellectual property ownership models, including granting exclusive and non-exclusive licenses, which provide broad benefits to both industry and the University.

      B. Government Sponsored Research.  UIP arising from research funded by the US government or other funding agency will be controlled by the terms of the grant or contract and applicable laws, including the Bayh-Dole Act.  Government-funded UIP will usually be owned by the University, subject to certain rights retained by the government.

      C. Student Intellectual Property.  Students will own the intellectual property that they invent, create and develop, including work created for a class, unless the student is (1) working on a University research grant or other sponsored research, (2) working for the University as an employee, or (3) working under a contract that stipulates otherwise. In these cases, the University will own the intellectual property.

      D. Disclosure of Inventions.  All faculty, employees (including students who are working for the University) and students (to the extent the student is working under a research grant, sponsored research or other governing contract) must disclose promptly any potentially patentable invention to the OVPR, and execute documents necessary for invention evaluation, patent prosecution or protection of University Patents. The disclosure should be made as soon as a faculty, employee or student becomes aware that their research or work has resulted in a patentable invention. OVPR will provide a preliminary evaluation of the patentable invention to the inventor within three months of disclosure, and will also provide periodic updates to inventor on the development and commercialization of the invention.

      E. Determining Ownership and Protecting Intellectual Property.  The OVPR, in consultation with the faculty member, staff, student and industry partner (if applicable), will determine the ownership of all inventions and trade secrets, whether a copyrighted work is a University Copyright, and whether to seek patent or copyright protection for the intellectual property.

      3.  Income Derived from Intellectual Property

      A.  Inventions.  Under Connecticut state law and the by-laws of the University, the net revenue derived from licensing or income from the assignment or sale of University Inventions will be shared with employee inventors.  Although current state law only requires the University to distribute 20% of the net revenues to inventors, the Board of Trustees has approved the distribution of net revenue as follows: 33.3% to the inventors on the patent, 33.3% to their department and 33.3% to the University. Net revenue is defined as the gross proceeds derived from assigning or licensing the University Invention, less costs and expenses reasonably allocated to the University Invention. In addition, the department’s share is further divided among the dean, the department head and the faculty member. The portion of revenue distributed to the University will be invested in research related activities and patent protection.  If a faculty member, student or staff member is an inventor and leaves the University, he or she will remain entitled to the inventor’s share of the revenue.  In some prior cases, the University has made distributions using different allocations, and may in the future enter into mutually agreed distributions that differ from the above formula.

      B. University Copyrights.  Net revenue derived from licensing of University Copyrights is property of the University, and the distribution of such revenue will be determined on a case by case basis, but may be distributed in a similar manner to the distribution for inventions as described above.

      C. University Trademarks.  The University generally retains all income derived from licensing of University Trademarks.

      4.  Licensing and New Company Formation

      A.  Licensing of Intellectual Property.  The OVPR seeks to identify existing businesses that can further develop and commercialize the University Intellectual Property and bring a reasonable financial return to the University. Income derived from OVPR’s licensing activities is governed by Section 3 above.

      B.  New Company Formation.  In cases where the faculty inventor may wish to form a new company based on the University Invention (hereinafter a “Faculty Startup or “Startup”), the University will require that the following conditions be satisfied before granting a license to University Intellectual Property to the Startup: (1) the faculty member may be involved with the Startup as a consultant or scientific advisor, but may not take on an operational role that interferes with her or his duties as a faculty member, (2) the Startup must demonstrate willingness and commitment to identify and engage individuals with reasonable and relevant experience to serve as the operating officer of the Startup, and (3) the Startup should develop a business plan and a fundraising plan.  As part of granting the license to the Startup, the Startup will provide consideration to the University, which could include a reasonable equity stake, a reasonable royalty, as well as assuming the costs of intellectual property protection.  Income earned by University from a Startup license or equity ownership is governed by Section 3 above.

      C. Additional Considerations for Faculty Affiliated Companies. The following additional considerations apply to Startups:

      (1)        A faculty lab may collaborate or subcontract with a Startup only if an appropriate agreement is negotiated with the OVPR.  The contract must contain a scope of work and clearly define responsibilities between the Startup and the faculty lab.  The agreement will be governed by the applicable University policies, including this IP and Commercialization Policy.

      (2)        The faculty member may not represent the University in any negotiation or decision involving a Startup.

      (3)        The faculty member individually, and the Startup, must maintain practices that ensure that University material, data and intellectual property that are not licensed to the Startup are separated from and not used inappropriately by the Startup.

      (4)        The faculty member may not use space in an academic lab, or other University or state resources, including the University’s purchasing authority, for the benefit of a Startup unless (a) prior written approval has been granted by the appropriate department head or dean, and (b) a written agreement is in place with the University authorizing such use and agreeing to reimburse the University for such use.

      (5)        A faculty member that works on a Startup must fully comply with the policies on “Consulting for Faculty and Members of the Faculty Bargaining Unit” and “Financial Conflict of Interest in Research” and any other similar or successor policies on the same subject. These policies are designed to ensure that a faculty member’s relationship with a Startup does not create a real or perceived conflict of interest, and that the faculty member and University have agreed on the scope of permissible Startup activities.

      (6)        Startups may not compete with the University for research grants that could appropriately be conducted in the faculty member’s lab (i.e., grants for basic research).

      D. Employment of Students Working at Startups.  Faculty associated with a Startup may not unduly influence a student to accept employment. The employment of students at a Startup is governed by a separate University policy, namely “Use of Students in Outside Employment.” Under this policy, the faculty member must obtain written approval from the department head or dean prior to employing a student at a Startup, and the student may seek recourse through the Provost to address any grievances that may arise during the term of employment.

      The University requires that each student receive a written offer of employment with a specific scope of work or job description, the rate of compensation and the expected hours of work.  In addition, the student should receive a fair market value rate of pay.

      E. Licensing Back of University Intellectual Property. If the University does not believe that it can successfully commercialize a University Invention, and if the faculty member is not interested in founding a Startup, the University will offer the inventor a license of the University Invention (such license referred to as a “license back”). In addition, the inventor may request a license back from OVPR at any time. OVPR is not required to grant a license back but will respond to any request within three months.  If the University elects to license back the University Invention to the inventor, the inventor, as licensee, will assume obligations related to patent expenses and commercialization and will agree to pay a portion of the gross revenue that the inventor receives through his or her commercialization efforts. In addition, the inventor will not be entitled to the net revenue payments described in Section 3 of this policy.

      5. Dealings with Outside Parties

      A. Sponsored Research.  All sponsored research agreements are negotiated and managed by the OVPR. Individual faculty members, departments, centers and other units of the University must work through the OVPR on such agreements.

      B. Consulting.   University faculty are encouraged to consult with industry, but must comply with all procedures set forth in “Consulting for Faculty and Members of the Faculty Bargaining Unit.” These policies apply even if the faculty member is consulting for a Startup, including a Startup with which that individual faculty member is affiliated.

      Faculty members are required to ensure that the intellectual property provisions of any consulting agreements with industry do not conflict with the faculty member’s obligations to the University.

      C. Use of Non-Disclosure Agreements.  Non-public information related to University Intellectual Property should not be disclosed to outside parties unless there is in place a fully executed Non-Disclosure Agreement negotiated by OVPR and approved by University counsel.

      D. Tangible Property.  Tangible property, including but not limited to software, devices, designs, models, cell lines, plans, seeds, antibodies, compounds and formulations that are University property, may not be transferred outside of the University unless there is in place a fully executed Material Transfer Agreement negotiated by OVPR and approved by University counsel.

      6. Other Considerations

      A. Publication.  Inventors should be aware that publication of research data and findings can jeopardize intellectual property rights for the University and the faculty member. When the University enters into industry sponsored research agreements, it will retain the right to publish all research results generated by faculty and students. The University may agree to delay the publication of research results that arise from industry sponsored research for a reasonable period of time to allow the sponsor to review the publication in order to determine if any confidential information should be removed or if a patent application should be filed.

      B. Affiliates and Intellectual Property.  In some limited cases, the University has affiliation agreements with other organizations (e.g. hospitals), and these agreements may grant the University additional intellectual property rights. For example, if a student is receiving a stipend from the University through an affiliate organization, the University will assert ownership of intellectual property created by the student.

      C. Open Source Software Distribution.  In those instances in which the University has an ownership interest in software, faculty and sponsors of research may request that the University distribute or otherwise make available software pursuant to an open source license.  The faculty member should consult with OVPR to determine if such distribution is in the best interests of the University.

      D. Signing of Agreements.   Sponsored Research Agreements, Intellectual Property Licenses, Confidential Disclosure Agreements, Material Transfer Agreements and other related agreements that obligate the University may only be signed by an authorized University signatory. A full list of authorized signatories is set forth in the President’s Resolution Delegating Signing Authority (the website link is provided at end of this Policy).

      Deans, Faculty and Department heads are not authorized under the President’s Resolution to sign agreements covered by this Policy.

      E. Disagreements Related to Inventions.   The University By-Laws establish procedures to follow in the event of a disagreement related to inventions.

      7.  Exceptions to This Policy

      Exceptions to this Intellectual Property and Commercialization Policy may be approved by the OVPR, in consultation with the applicable University department, and faculty members, in its sole discretion.  The Office of Clinical and Translation Research may approve changes to clinical trial agreements.

      8. 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 Code.

      9.  Related Policies, Procedures and Board Resolutions

      This policy replaces “Policy Regarding Research Collaborations with Industrial Partners and Technology Transfer”

      The following are links to related policies, procedures and board resolutions, sorted by campus applicability.

      All University Campuses

      “Consulting for Faculty and Members of the Faculty Bargaining Unit”

      “Consulting by Faculty” website

      University Trademark website

      Specific to Storrs and Storrs-based Regional Campuses

      “Financial Conflicts of Interest in Research”

      “Use of Students for External Employment”

      Board of Trustees Resolution Delegating Signing Authority

      Specific to UConn Health

      Further Sub-Delegations of Contract Approval and Signature Authority at OVPR

      Data Ownership

      Individual Financial Conflict of Interest in Research 

       

      If any of the above policies are amended or new relevant policies adopted, these amended or new policies will apply as of their effective date.

      Policy approved by the President’s Cabinet.

      Adopted by the University of Connecticut Board of Trustees on September 30, 2015 and effective as of September 30, 2015.

      Policy for Education Abroad and Related Activities in Sites with U.S. Department of State Travel Warning/Travel Alert

      Title: Policy for Education Abroad and Related Activities in Sites with U.S. Department of State Travel Warning/Travel Alert
      Policy Owner: Global Affairs
      Applies to: Undergraduate and Graduate Students, Postdoctoral Research Associates, Faculty, Staff
      Campus Applicability: Storrs and Regional Campuses including the Law School
      Effective Date: July 23, 2015
      For More Information, Contact Assistant Vice President for Global Affairs
      Contact Information:  860-486-2908
      Official Website: http://global.uconn.edu/

      Waiver Application

      Waiver Application for Travel to High-Risk Countries/Regions

      REASON FOR POLICY

      Global engagement is one of the four core values of the University of Connecticut, as presented in the University’s 2014 strategic planning document Creating Our Future: UCONN’s Path to Excellence. The University has long supported students, faculty and staff as they travel internationally for credit-bearing Education Abroad programs, internships, research, service learning and volunteer opportunities, conferences, registered student organization activities, student groups affiliated with academic departments, and other non-credit-bearing University programs. To further the University’s core values, ensure that students, faculty and staff have all relevant information and support they need while traveling abroad, and assess any potential risks and appropriate actions to reduce those risks, the University has established guidelines concerning  how, when and where students, faculty and staff may travel abroad for university-sponsored or university-related purposes. The University of Connecticut considers issues of terrorism, war, disease and other risks to travelers when assessing the appropriateness of university-sponsored or university-related international travel to a country with a U.S. Department of State Travel Warning or Travel Alert.

      Accordingly, the University will not permit or support travel to any country with a U.S. Department of State Travel Warning or Travel Alert except pursuant to a Waiver approved by the Vice President for Global Affairs under this policy.

       

      APPLIES TO

      This policy applies to all undergraduate and graduate students, postdoctoral research associates, faculty and staff at the Storrs and regional campuses including the Law School traveling internationally for university-sponsored or university-related purposes. University-sponsored or university-related purposes include credit-bearing Education Abroad programs, internships, research, service learning and volunteer opportunities, conferences, registered student organization activities, student groups affiliated with academic departments, and other non-credit-bearing University programs.

      This policy does not include travel through a program that is administered by another organization that has not been vetted and approved by UConn’s Office of Global Affairs: Education Abroad (OGA:EA) or does not have a formal agreement or exchange program with UConn.

      This policy does not apply to students, faculty or staff who make the personal decision to travel internationally on a program or for a purpose not affiliated with the University and use their own funds, or other non-University funds, to support this travel. That is personal travel. This policy does not apply to personal travel. Personal travel includes additional independent travel before or after travel for university-sponsored or university-related purposes that is not part of the official university-sponsored or university-related itinerary. University-sponsored international health insurance does not cover personal travel by faculty, staff or students.

      This policy does not apply to the University of Connecticut Health Center.

      DEFINITIONS

      “Education and Activities Abroad” and “Education Abroad and Related Activities” means any travel outside of the United States for university-sponsored or university-related purposes.

      “Program Director” means the faculty or staff advisor, or in the case of a UConn Registered Student Organization or student group affiliated with an academic department of the University, the student leader of the Organization or student group, who is responsible for the planning and implementation of an Education and Activities Abroad program or travel opportunity. In the case of individual student, faculty or staff travel for university-sponsored or university-related purposes, the Program Director means the individual traveler.

      “Risk Advisory Committee (RAC)” means the committee formed to review Waiver Applications for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts. The RAC members include the Director of UConn’s Office of Global Affairs: Education Abroad (OGA:EA), a second and/or additional member(s) appointed by the Vice President for Global Affairs, and a representative from the Office of the General Counsel, or their successor in function. As appropriate to the proposed Education and Activities Abroad program or opportunity, the RAC may also seek input from representatives of the School or College associated with the Education and Activities Abroad program, the Division of Student Affairs, and/or any experts on country conditions of the proposed destination. The Chair of the RAC will be designated by the Vice President for Global Affairs.

      “University-sponsored or university-related” means credit-bearing study abroad programs, internships, research, service learning and volunteer opportunities, conferences, registered student organization activities, student groups affiliated with academic departments, and other non-credit-bearing University programs. This includes the following:

      –           Any travel in connection with activities for which academic credit is sought, including programs operated through UConn’s Office of Global Affairs: Education Abroad (OGA:EA), travel as part of a formal academic program or course of study, internship credit, and travel for independent study credit (including retroactive requests for academic credit).

      –           Any travel for purposes of performance, sporting events, service learning, conferences, meetings, professional development or volunteerism organized by an academic department, a UConn Registered Student Organization or a student group affiliated with an academic department of the University.

      –           Any travel for which funding is sought through a University-administered account or a student government-administered account within UConn.

      –           Any travel that requires travel approval through UConn Travel Services and/or that requires international health insurance through a University-contracted insurance plan.

      “Waiver Application” means the Waiver Application for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts, administered by UConn’s Office of Global Affairs: Education Abroad (OGA:EA).  The Waiver Application may be revised by the Vice President of Global Affairs from time to time consistent with this Policy.

      POLICY STATEMENT

      The University observes the following policy:

      If the U.S. Department of State issues a travel warning/travel alert for a particular country or region within a country, UConn will suspend approval of any current Education and Activities Abroad program or individual university-sponsored or university-related travel by UConn students, postdoctoral research associates, faculty and/or staff and will not approve any new travel in that country as long as the travel warning/travel alert is in effect unless an application for a Waiver of this policy is submitted and approved by the Vice President for Global Affairs.  Without approval of the Waiver, university support is withdrawn. No academic credit will be awarded for programs in those countries, and reimbursement for the travel may be denied.

      I.        Proposed Programs or Activities

      When initiating a new Education or Activity Abroad opportunity, the Program Director or, in the case of individual travel, the student, faculty or staff member intending to travel, should review whether any destination country is the subject of any travel warnings or travel alerts issued by the U.S. Department of State. See http://travel.state.gov/content/passports/english/alertswarnings.html. All U.S. Department of State travel warnings and travel alerts applicable to the destination country must be disclosed and a Waiver sought as part of the proposal, even when the travel warning/travel alert covers a different region or state from the program’s in-country destination.

      In reviewing the Waiver Application, the University will carefully review the actual U.S. Department of State travel warning/travel alert, as well as other sources, which may include recommendations of other countries such as Canada, the United Kingdom and Australia.

      There may be legitimate academic reasons for developing or continuing a program or exchange in a country or in certain regions of a country while limiting travel to other regions of that same country. In some situations, a travel warning/travel alert may be very narrowly defined. For example, on May 5, 2015, the U.S. Department of State updated its travel warning for Mexico. That travel warning assessed security conditions for Mexico state-by-state. At that time the state of Oaxaca listed “no advisory is in effect,” while the state of Tamaulipas had a security advisory in effect. In such a circumstance, upon careful review a Waiver might be granted for travel to Oaxaca State, while denied for travel to Tamaulipas State.

      In reviewing the Waiver Application, the University will also carefully review any other pertinent factors brought to the University’s attention, such as any impact to University faculty and staff on sponsored research funding for projects that may not reach completion if the faculty or staff member were to be prohibited from travel or continued travel to a travel warning/travel alert country under this policy. When completing the Waiver Application, faculty or staff should note the existence of and any adverse consequences to sponsored research as part of the reasoning to permit the travel despite the existence of a U.S. Department of State travel warning/travel alert.

      Waiver Process

      If a new Education or Activity Abroad program or opportunity is being proposed in any country where a travel warning or travel alert is current, the following process should be followed:

      A.      When proposing university-sponsored or university-related international travel, certain forms are always required:  the “Education and Activities Abroad Program proposal request” form to be submitted for all student Education or Activity Abroad opportunities; the “Student Organization Off-Campus Event Advising” form to be submitted for all registered student organization travel; or the UConn Travel Office’s Travel WebForm providing for enrollment in international health insurance through the University-contracted international health insurance plan for faculty, staff and graduate assistant travel. In addition, for travel to any country where a travel warning or travel alert is in effect, a Waiver Application for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts must be completed and submitted to the Office of Global Affairs: Education Abroad (OGA:EA). Current Waiver Applications for Students and Faculty/Staff are available for download at the top of this page. OGA:EA will also provide the current Waiver Application form upon request.

      B.      The Risk Advisory Committee (RAC) will review the Waiver Application. The RAC will then forward the Waiver Application with a recommendation to the Vice President for Global Affairs.

      C.      Vice President’s Decision:

      1.      Waiver Approved: If a Waiver is approved by the Vice President for Global Affairs, the travel warning/travel alert will be reviewed periodically by OGA:EA until a rescission or new travel warning/travel alert is issued by the U.S. Department of State. If a new travel warning/travel alert is issued, then the program will be reviewed as per the procedures below for current programs.

      a.      All participants in the program will receive a copy of the U.S. Department of State travel warning/travel alert along with a copy of the completed Waiver Application. All prospective travelers will be interviewed by the proposed Program Director, representative of the OGA:EA, representative of the Division of Student Affairs, or other individuals who are developing the program. This interview will explain the program purpose and the environment in which it will take place (including health, safety and other program elements) and deliver information about the U.S. Department of State’s travel warning/travel advisory to enable travelers to make informed consent decisions as to their participation in the program.

      b.      After prospective travelers have been interviewed and determined to be qualified to join the program, and only after the Waiver has been approved, all prospective travelers in the program will review and sign the Informed Consent and Release of Liability statement. It will be the responsibility of the Program Director of the proposed program to ensure that all program participants have completed an Informed Consent and Release of Liability statement prior to departure for the program. Completed and signed Informed Consent and Release of Liability forms should be submitted to OGA:EA. Current versions of the Informed Consent and Release of Liability forms are included within the Waiver Applications for travel to high risk countries. They may be revised by the Vice President of Global Affairs from time to time consistent with this Policy.

      c.       If a Waiver has been approved for travel to a U.S. Department of State travel warning/travel alert country or region, additional travel to a different country or region subject to a U.S. Department of State travel warning/travel alert country or region that was not considered as part of the Waiver Application is not permitted unless that additional travel has also been reviewed and approved through a subsequent Waiver Application in accordance with this policy.

      d.      Refunds and Withdrawals: Travelers will be permitted to withdraw from a program for which a Waiver has been approved if they are not comfortable traveling to the country or region. Reasonable efforts will be made to find alternate programs for travelers to enroll in. If an alternate program cannot be found, reasonable efforts will be made to refund any fees already paid, but the actual amount of refund will be determined on a case-by-case basis by the OGA:EA.

      2.      Waiver Application Denied: If the Vice President for Global Affairs determines that the Waiver Application should be denied due to the situation reflected in the U.S. Department of State travel warning/travel alert, the Program Director and/or the Director of the OGA:EA will notify any current program applicants.

      a.      Reconsideration of the decision: When a Waiver Application is denied, the Program Director and the Director of the OGA:EA and/or Chair of the RAC will have the opportunity to confer with the Vice President for Global Affairs about the decision. The Program Director will have the opportunity to submit any new evidence of current country conditions that was not previously before the RAC. If the Vice President finds it appropriate, he or she may refer such evidence back to the RAC for further consideration. The decision as to whether to consider new evidence and reopen the review of the RAC will be at the sole discretion of the Vice President for Global Affairs.

      b.      Refunds and Withdrawals: If money has already been collected for a program to a U.S. Department of State travel warning/travel alert country and the Waiver Application is denied, the process for notification and refunds will be determined on a case-by-case basis by the Vice President based on recommendations from the OGA:EA.

      c.       If a Waiver Application is denied, any student, faculty or staff member who makes the personal decision to travel to the location notwithstanding the denial does so as a private individual without a connection to the University. The travel will not be considered affiliated with or supported by the University, University funds will not be used to support the travel, and University-contracted international health insurance will not cover the travel. The University will have no obligation or liability in connection with such travel.

      II.      Current Programs

      If a U.S. Department of State travel warning/travel alert is announced in a country where an existing Education or Activity Abroad program operates, the Vice-President for Global Affairs are authorized to summarily suspend the operation of the effected program(s) and require the safe and expeditious return of program participants to the University campus.

      If this step is deemed not immediately warranted, the following procedures must be implemented:

      A.      The Program Director or associated on-campus program facilitator must complete the Waiver Application for Education and Activities Abroad Programs in Countries with U.S. Department of State Travel Warnings/Travel Alerts and submit it to the OGA:EA within 48 hours of the issuance of the travel warning/travel alert.

      B.      The Risk Advisory Committee (RAC) will review the Waiver Application as soon as possible, with a goal of within 2 business days of receipt of the Waiver Application. The RAC will then forward the Waiver Application with a recommendation to the Vice President for Global Affairs.

      C.      Vice President’s decision:

      1.      Waiver Approved: If a Waiver is approved by the Vice President for Global Affairs, the U.S. Department of State travel warning/travel alert will be reviewed periodically by OGA:EA until a rescission or new travel warning/travel alert occurs. If a new travel warning/travel alert is issued, then the program will be reviewed anew, as per the procedures above.

      a.      If a Waiver is approved by the Vice President for Global Affairs, all travelers on that program will receive a copy of the U.S. Department of State travel warning/travel alert along with a copy of the completed Waiver Application. All travelers will be required to sign the Informed Consent and Release of Liability statement attesting that they have read the travel warning/travel alert and the Waiver Application and wish to continue with the program. If the traveler is under the age of 18, the traveler’s parents must review and sign these materials.

      b.      If a Waiver has been approved for travel to a U.S. Department of State travel warning/travel alert country or region, additional travel to a different country or region subject to a U.S. Department of State travel warning/travel alert that was not considered as part of the Waiver Application is not permitted unless that additional travel has also been reviewed and approved through a subsequent Waiver Application in accordance with this policy.

      c.       Refunds and Withdrawals: If a Waiver is approved by the Vice President for Global Affairs, travelers will be permitted to withdraw from the program for which the Waiver has been approved if they are not comfortable remaining in the country or region. Reasonable efforts will be made to allow any travelers who do withdraw to complete their coursework or program objectives after their return. Reasonable efforts will be made to refund any unused or unapplied fees, but the actual amount of refund will be determined on a case-by-case basis by the OGA:EA.

      2.      Waiver Application Denied:  If upon review, the Vice President for Global Affairs determines that a program should be cancelled or suspended due to the situation reflected the U.S. Department of State travel warning/travel alert, the Program Director and/or the Director of the OGA:EA will notify all current travelers and institute procedures to return travelers to the University campus or other safe location.

      a.      Reconsideration of the decision:  When a Waiver Application is denied, the Program Director or associated on-campus program facilitator, alongside the Director of OGA:EA and/or Chair of the RAC, will have the opportunity to confer with the Vice President for Global Affairs about the decision. The Program Director will have the opportunity to submit any new evidence of current country conditions that was not previously before the RAC. If the Vice President finds it appropriate, he or she may refer such evidence back to the RAC for further consideration. The decision as to whether to consider new evidence and reopen the review of the RAC will be at the sole discretion of the Vice President for Global Affairs.

      b.      Refund and Withdrawals: If the Vice President for Global Affairs determines that a program should be cancelled or terminated due to a U.S. Department of State travel warning/travel alert, reasonable efforts will be made to refund any unused or unapplied fees, but the actual amount of refund will be determined on a case-by-case basis by the OGA:EA.

      c.       If a Waiver Application is denied, any student, faculty or staff member who continues to make the personal decision to travel to or continue travel in the location notwithstanding that denial does so as a private individual without a connection to the University. The travel will not be considered affiliated with or supported by the University, University funds will not be used to support the travel, and University-contracted international health insurance will not cover the travel. The University will have no obligation or liability in connection with such travel.

      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 Responsibilities of Community Life: The Student Code.

      The University reserves the right to deny academic credit, funding or reimbursement for any university-sponsored or university-related international travel that is considered inconsistent with published policies and practices.

      RELATED POLICY

      See also:

      Export Control and Economic Sanctions Policy

      Student International Travel Policy

      Travel & Entertainment Policy