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Endowed Chairs and Professorships, Policy on

Posted on May 26, 2011February 17, 2026 by

Title:	Endowed Chairs and Professorships, Policy on
Policy Owner:	Board of Trustees
Applies to:	All UConn Campuses
Campus Applicability:	All Campuses
Effective Date:	April 28, 2023
For More Information, Contact	Board of Trustees Office
Contact Information:	(860) 486-2333
Official Website:	http://boardoftrustees.uconn.edu/

BACKGROUND

The University of Connecticut seeks endowment support for chairs and professorships in the several academic departments, independent scholarly centers, schools, and colleges to support distinguished teaching, research, and community service.

PURPOSE

To clarify the areas of responsibility for establishing, approving, reviewing, and filling Endowed Chairs and Professorships

POLICY STATEMENT

Endowed chairs and professorships are created by the Trustees upon recommendation by the President and in consideration of the President’s determination that sufficient endowment funds have been provided through an outright gift or a written pledge to provide a significant share of the chair holder’s salary, research or teaching program support, and supplementary support.

On recommendation by the Provost and Executive Vice President for Academic Affairs or Executive Vice President for Health Affairs, the President will present to the Board a proposal for establishment of an endowed chair or endowed professorship. The President’s recommendation to the Trustees will address the chair’s or the professor’s purpose in light of the University’s academic mission, source of funding, and such other matters as may be relevant to the creation of the chair or professorship.

Once an endowed chair or professorship has been created, the position will be filled in accordance with University policy, and the Provost and Executive Vice President for Academic Affairs or the Executive Vice President for Health Affairs will recommend a candidate for appointment to the Board of Trustees.

Appointments will be for a fixed term, with the possibility of renewal. The term associated with an endowed chair or endowed professorship will be determined at the discretion of the dean up to a maximum of 5 years. The holder of an endowed chair or endowed professorship is ordinarily considered for a renewal appointment at the end of their appointment.

In the event that an endowed chair becomes vacant, the dean, in consultation with the Provost may at appoint an individual to the position for no more than a 1-year temporary appointment. The Provost will consider exceptions to the ordinary procedures on a case-by-case basis.

Retired or emeritus faculty are ineligible for appointment or reappointment to an endowed chair or professorships. Faculty who retire while serving in an endowed position vacate the position upon retirement.

The President shall periodically forward to the Board of Trustees reports on the contributions made by holders of endowed chairs or professorships.

ENFORCEMENT

PROCEDURES/FORMS

The Endowed Professorship Appointment and Renewal Procedures are available from the Academic Affairs Governance Documents Library.

REFERENCES

List of Endowed Chairs and Professorship

POLICY HISTORY

Policy Created: 9/26/2001
Policy Supersedes Endowed Chairs Policy (5/11/1990; 11/7/1989; 10/15/1989)

Revised: 07/30/2025 (Editorial); 03/13/2023 (Approved by Senior Policy Council and the Board of Trustees)

Confidentiality of Library User Records

Posted on May 26, 2011March 17, 2026 by Quiles, Anida

Title:	Confidentiality of Library User Records
Policy Owner:	UConn Library
Applies to:	All Library Users
Campus Applicability:	All UConn Campuses
Approval Date:	March 4, 2026
Effective Date:	March 9, 2026
For More Information, Contact:	UConn Library
Contact Information:	(860)486-2219
Official Website:	https://www.lib.uconn.edu/

PURPOSE

To ensure the confidentiality of Library User records in compliance with professional ethics and applicable legal standards.

APPLIES TO

This policy applies to all Library Users who utilize or borrow resources from the UConn Library.

DEFINITIONS

Library Users: Any authorized user of the UConn Library, including University of Connecticut students, workforce members, community faculty, and community borrowers.

Community Borrowers: Non-UConn affiliates who are citizens of the state of Connecticut or a member of another eligible population who has registered for a community borrower card through the UConn Library’s Community Borrower Program.

POLICY STATEMENT

The UConn Library is responsible for ensuring that personally identifiable information related to individual library user’s use of library resources will be kept confidential to the extent possible under the law. Personally identifiable information is only used internally as needed for library operations and is not disclosed to third parties except with the expressed written permission of the Library User or as otherwise required by law. This policy aligns with the principles of the American Library Association Code of Ethics, which endorses the confidentiality of Library User records.

ENFORCEMENT

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

PROCEDURES/FORMS

Library user records are kept confidential and retained in accordance with the state record retention requirements established by the Office of the Public Records Administrator of the Connecticut State Library.

If the University is served with a subpoena, warrant, or court order compelling disclosure of library user records, then such document shall be promptly referred to the University’s Office of the General Counsel.

REFERENCES

American Library Association Code of Ethics
State of Connecticut Records Retention Schedule
UConn Library Community Borrower Program
University of Connecticut Student Code
University General Rules of Conduct

POLICY HISTORY

Policy created: November 21, 2016 (Approved by University Administration)

Revisions: March 4, 2026 (Approved by the Senior Policy Council and President)

Athletics Employee Handbook

Posted on May 26, 2011November 30, 2017 by Fearney, Kimberly

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

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

Assignment of Textbooks and Other Intellectual Property

Posted on May 26, 2011February 17, 2026 by

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

Background and reasons for the Policy:

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

Purpose of Policy:

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

Expected Institutional Outcome:

Compliance with the Code of Ethics

Applicability of Policy:

All Faculty

Policy Statement:

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

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

Responsibilities:

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

Policy Implementation Guidelines:

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

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

Records Management Policy

Posted on May 24, 2011July 16, 2019 by Fearney, Kimberly

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

Background and Purpose of the Policy

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

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

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

Definitions

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

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

The following are examples of “Non-Records”:

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

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

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

Policy Statement

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

Technology Incubation Program Operation Policy

Posted on May 24, 2011March 10, 2026 by

Title:	Technology Incubation Program Operation Policy
Policy Owner:	Office of the Vice President for Research
Applies to:	Faculty, Staff and Students
Campus Applicability:	All campuses including UConn Health
Effective Date:	December 7, 2016
For More Information, Contact	Director of Innovation Programs
Contact Information:	(860) 486-3010
Official Website:	https://innovation.uconn.edu/

REASON FOR POLICY

The University’s Technology Incubation Program (TIP) is designed to facilitate the commercialization of technology and promote new economic development opportunities in Connecticut by supporting technology transfer, collaboration and providing students and faculty with a supportive entrepreneurial environment. The purpose of this policy is to establish a framework for the operation of TIP.

APPLIES TO

University’s Technology Incubation Program at all campuses including UConn Health.

POLICY REQUIREMENTS

Standards and Procedures

The Office of the Vice President for Research (OVPR) is responsible for managing TIP. OVPR will develop standards and procedures for the program and be responsible for coordinating, administrating and monitoring TIP in order to promote the effective implementation of this policy. OVPR’s standards and procedures must be consistent with University policies and include the following:

A requirement that companies interested in participating in TIP must apply for admittance.
An application process that includes a review of information provided by the company that is sufficient to determine (1) that a relationship with the company is beneficial to the goals of the University and (2) that the company has a plan in place for the company’s operation at the University with milestones to assure the accomplishment of mutually beneficial goals.
A requirement that a written assessment supporting a company’s admission be completed and maintained by OVPR. Each written assessment should include a copy of the company’s application and any other relevant materials provided by the company during the application process.
A requirement that admitted companies must maintain a physical presence on a University campus and enter into a written agreement to use University space. Written agreements may be in the form of a lease or license.
Establishment of standard rates for the leasing and licensing of TIP space. Premium rates may be charged to selected companies with the capacity to pay market rents. Discounted rates may be charged to UConn student run companies.
Provisions requiring each admitted company to comply with all University, State and Federal rules and regulations including those for Environmental Health and Safety (EHS) and, where appropriate, rules related to animal care, use of human subjects, embryonic stem cells, other biomaterials, etc.
Documentation of insurance and other appropriate terms to assure that the University and the State are adequately protected from possible liability.
A restriction limiting a company’s participation in TIP to no more than five years unless scientific and commercial progress is demonstrated by a company along with a need to continue participating in TIP due to special circumstances.
Regular updates on each company’s progress and annual reviews against its milestones.

TIP Services

OVPR will offer admitted companies access to wet and dry laboratory and office space. OVPR may also offer the following support services:

Business counseling;
Marketing support;
Access to mentors and advisors;
Access to the University IT system, select library and electronic collections;
Participation in events of interest to early stage firms;
Environmental Health and Safety training;
Access to specialized facilities, equipment and instrumentation by special arrangement;
Parking privileges on the same terms as University employees.

TIP Space

Only areas designated as TIP space by the University may be utilized for TIP purposes. TIP space is currently made available at the Farmington, Storrs and Avery Point campuses.

Tenants will be responsible for space renovation costs and must receive appropriate University approvals prior to any work commencing.

TIP Leasing Process

Companies that want to occupy University space must execute a lease or a license agreement. TIP leases require Board of Trustees approval except as specified below.

A TIP lease can be approved without Board of Trustee approval if it meets the following criteria:

The space being leased has been designated for TIP use;

The rent per square foot and the other financial terms of the lease are consistent with the standard terms for TIP as approved by the Vice President for Research;

The lease is for a term (initial term plus all extensions provide for in the lease that may be exercised by either party) that does not exceed five years;

The lease is terminable at the option of the University and the required termination notice period is sixty (60) days or less;

The lease has been reviewed by University counsel and approved by the Office of the Attorney General and State Treasurer.

Leases meeting the above criteria may be approved and signed by the President without coming to the Board. The President may re-delegate this authority to a Vice President.

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.

POLICY HISTORY

Policy created: March 13, 2008*

Policy Revised: December 7, 2016*

* Approved by the Board of Trustees.

Supersedes:

Board of Trustee’s Policy on Incubation Company Leasing (January 22, 2008).

Board of Trustee’s June 28, 2012 Resolution titled: Delegation of Authority to Approve Leases for the Technology Incubation Program (TIP) in Specified Circumstance.

Human Subjects Research

Posted on May 24, 2011February 17, 2026 by Fearney, Kimberly

Title:	Human Subjects Research
Policy Owner:	Office of the Vice President for Research
Applies to:	Employees, Faculty, Students, Others
Campus Applicability:	All Campuses
Effective Date:	May 25, 2018
For More Information, Contact	Office of the Vice President for Research
Contact Information:	(860) 486-3001
Official Website:	http://research.uconn.edu/

REASON FOR POLICY

The University of Connecticut is committed to ensuring the safety, rights and welfare of all participants involved in human subjects research conducted at or by the University of Connecticut on all its campuses, including UConn Health (the “University”). This policy establishes that whenever the University engages in human research it will be guided by the ethical principles of the Belmont Report and will comply with applicable legal requirements. It is the responsibility of all components of the human research protection program to work collaboratively to ensure research with human subjects is conducted in accordance with such ethical principles and legal requirements.

APPLIES TO

All University faculty, employees, students, postdoctoral fellows, residents and other trainees, and agents who supervise or conduct human subject research. Such research includes, but is not limited to, obtaining data through intervention or interaction with individuals, using identifiable private information or identifiable biospecimens from living individuals and using human tissue to evaluate the safety or effectiveness of an investigational device.

DEFINITIONS

Human Research Protection Program (“HRPP”): The University’s comprehensive system designed to ensure that the University meets ethical principles and legal requirements for the protection of the safety, rights and welfare of human participants in research. The HRPP encompasses all University-associated individuals and units responsible for the conduct and oversight of research involving human participants.

Human Subject or Human Participant:

A living individual about whom an investigator (whether professional or student) conducting research obtains data through intervention or interaction with the individual, or identifiable private information. [45 CFR 102(f)]
An individual who is or becomes a participant in research, either as a recipient of the test article or as a control. Such subject may be either a healthy individual or a patient. For research that evaluates the safety or effectiveness of a device, the definition also includes a human on whose specimen an investigational device is used. Such subject may be in normal health or may have a medical condition or disease. [21 CFR 56.102(e); 21 CFR 812.3(p)]
Any other individual meeting the legal requirements of a human subject or human participant in research.

Institutional Official (“IO”): The individual appointed by the President of the University who is legally authorized to act for and on behalf of the University in matters related to human subject research and the protection of human research participants. The IO oversees the HRPP and is responsible for ensuring that it functions effectively and that the University provides appropriate resources and support to comply with applicable legal requirements governing human subject research.

Institutional Review Board (“IRB”): A multidisciplinary group whose membership meets applicable legal requirements, which reviews, approves, and oversees all University research involving human subjects. An integral component of the HRPP, the IRB review ensures the protection of the safety, rights and welfare of human subjects and that applicable legal requirements are met.

Research:

A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. [45 CFR 102(d)]
A clinical investigation, meaning any experiment that involves a test article and one or more human subjects, and that either must meet the requirements for prior submission to the Food and Drug Administration (“FDA”) under section 505(i) or 520(g) of the Federal Food, Drug, and Cosmetic Act, as amended (the “Act”), or need not meet the requirements for prior submission to the FDA under these sections of the Act, but the results of which are intended to be later submitted to, or held for inspection by, the FDA as part of an application for a research or marketing permit. [21 CFR 102(c)]
Any other activities meeting the legal requirements of research involving human subjects or human participants.

POLICY STATEMENT

The University will designate one or more IRBs for the review of research involving human participants.

The IO is delegated the authority to develop policies and procedures, and to implement a program to ensure the safety, rights and welfare of human participants in research that is legally compliant.

All human subjects research, regardless of sponsorship or funding, must be reviewed and approved by a University designated IRB before research begins unless specifically exempted from review by policy or procedure.

Designated IRBs are granted the authority to:

Approve, require modifications to secure approval, or disapprove research involving human subjects;
Suspend or terminate approval of research not being conducted in accordance with the IRB’s requirements or that has been associated with unexpected serious harm to human subjects;
Take actions determined necessary to ensure legal compliance and adherence to University policy, and to mitigate issues associated with unanticipated problems or risks to human participants and others;
Observe, or have a third party observe, the consent process or conduct of the research; and
Conduct continuing review of research annually or at intervals appropriate to the degree of risk.

University personnel may not approve research involving human participants if it has not been approved by a University designated IRB. Research that has been approved by a designated IRB may be subject to further review and approval or disapproval.

Research Subject to the Common Rule. Human subject research that is conducted or supported by any federal department or agency that has adopted the Federal Policy for the Protection of Human Subjects, known as the Common Rule, will comply with the requirements set forth in the Health & Human Services Regulations at 45 CFR part 46 (including subparts A, B, C and D), unless the research is otherwise exempt from these requirements. Relevant HRPP and IRB policies and other applicable legal requirements of the department or agency conducting or supporting the research may also apply.

Research Subject to FDA Regulation. Clinical investigations regulated by the FDA under section 505(i) or 520(g) of the Act (21 U. S.C. § 355(i)) will comply with the applicable FDA regulations. These regulations include, but are not limited to: Protection of Human Subjects (21 CFR part 50), Institutional Review Boards (21 CFR part 56), Investigational New Drug Application (21 CFR part 312), Applications for FDA Approval to Market a New Drug (21 CFR part 314) and Investigational Device Exemptions (21 CFR part 812). Relevant HRPP and IRB policies may also apply.

Other Research. For all other research involving human participants, the University applies the policies of the HRPP, which are guided in their development and implementation by the Health & Human Services Regulations at 45 CFR part 46 (including four subparts) and the International Conference on Harmonization Good Clinical Practice Consolidated Guidelines.

ENFORCEMENT

ADDITIONAL RESOURCES

45 CFR part 46 (including subparts A, B, C and D)

21 CFR part 50

21 CFR part 56

21 CFR part 312

21 CFR part 314

21 CFR part 812

ICH GCP (E6)

Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research (1979)

POLICY HISTORY

Revisions: 2/16/2011; 5/25/2018 (Approved by President’s Cabinet)

Guide to the State Code of Ethics

Posted on May 24, 2011July 23, 2026 by Fearney, Kimberly

Title:	Guide to the State Code of Ethics
Policy Owner:	Office of University Compliance
Applies to:	Faculty, Staff
Campus Applicability:	All Campuses
Approval Date:	October 25, 2023
Effective Date:	October 25, 2023
For More Information, Contact	Office of University Compliance
Contact Information:	(860) 486-2530 or universitycompliance@uconn.edu
Official Website:	https://compliance.uconn.edu

PURPOSE

Pursuant to state law, the University is required to adopt in cooperation with the Office of State Ethics, an ethics statement as it relates to the mission of the University. The Code of Ethics for Public Officials (the Code) sets forth principles of ethical conduct that all state employees, including employees of the University, must observe. All employees of the University are expected to become familiar with the Code and comply with all its provisions. This statement is intended to be a general guide to assist you in determining what conduct is prohibited so that it may be avoided. It is not intended to supersede the Code. Please note that under state statute, compliance with the Code is the responsibility of the employee, not the University.

The Office of State Ethics has jurisdiction to interpret and enforce the Code. Violations may result in a formal complaint proceeding filed against the employee and sanctions of up to $10,000 per violation. The entire Code and regulations, as well as a summary of these rules, may be found at the Office of State Ethics website. For formal and informal interpretations of the Code of Ethics, employees should contact the Office of State Ethics. In addition, the University must designate an Ethics Liaison as an information resource regarding compliance. An employee who has a question or is unsure about the provisions of this policy, or who would like assistance in contacting the Office of State Ethics, should contact the University’s Ethics Liaison.

The following general provisions of the Code are applicable to all employees of the University of Connecticut:

CONFLICT OF INTEREST

GIFTS: In general, employees are prohibited from accepting gifts, discounts or gratuities of any kind from prohibited donors: (1) doing business with or seeking to do business with the University; (2) directly regulated by the University; (3) known to be a registered lobbyist or a lobbyist’s representative, or; (4) pre-qualified under Conn. Gen. Stat. §4a-100. A list of registered lobbyists can be found on the web site of the Office of State Ethics. Certain items are excluded from the definition of “gift,” including: items offered to the public at large (for example, trinkets provided at an open house), items valued at under $10, food and beverage up to $50 in a calendar year from each donor and training for a product purchased by the University provided such training is offered to all customers of that vendor. “Gifts to the state” are also permitted as long as the gifts facilitate University actions or functions. If an employee is offered a benefit from someone other than the prohibited donors listed above, and the benefit is offered because of the employee’s position at the University, the total value of benefits received from one source in a year must not exceed $100. Additionally, supervisors may only accept gifts valued at no more than $100 from a subordinate; a subordinate may only accept gifts valued at no more than $100 from their supervisor. This provision not only applies to direct supervisors and subordinates, but to any individual up or down the chain of command. Questions regarding specific facts and circumstances surrounding various gift-giving scenarios should be directed to the University’s Ethics Liaison or the Office of State Ethics.
OUTSIDE EMPLOYMENT: No employee may accept outside employment that will impair their independence of judgment with regard to their state duties or would encourage the disclosure of confidential information gained in state service. Additionally, although an employee may use their expertise, they may not use their state position to obtain outside employment. An employee is not allowed to use their business address, telephone number, title or status in any way to promote, advertise or solicit personal business. Employees interested in pursuing outside employment may seek and receive written approval from their Supervisor and, if uncertain about the application of the Code, the Ethics Liaison or the Office of State Ethics. For faculty and professional staff, the University of Connecticut By-Laws specifically address consulting, private professional practice, teaching, and other outside employment situations. Faculty and members of the AAUP bargaining unit must adhere to the University’s Faculty Consulting policy as well as the policy on assigning textbooks which they have authored. Union members are referred to contract articles, if such exist, relating to outside employment in their respective collective bargaining agreements. If you are thinking about an opportunity for outside employment, you may also consult with the University’s Ethics Liaison for guidance.
FINANCIAL BENEFIT: Employees may not use their official position or confidential information gained in their service for personal financial benefit, or the financial benefit of a family member or a business with which they, or a family member, are associated. Employees are prohibited from using state time, personnel or materials, including telephones, computers, e-mail systems, fax machines, copy machines, state vehicles and any other supplies, for personal, non-state related purposes. It is understood, however, that incidental use of state property for personal use is permissible so long as you reimburse the state for any identifiable charges.
CONTRACTS WITH THE STATE: Employees, their immediate family members, and/or a business with which an employee or their family member is associated may not enter into a contract with the state valued at $100 or more, unless the contract has been awarded through an open and public process. The Code permits an exemption for contracts with a public institution of higher education to support a collaboration with such institution to develop and commercialize any invention or discovery. The Office of State Ethics has ruled that immediate family members may not be hired as an independent contractor unless there has been an open and public process.
APPEARANCE FEES: No employee may personally accept any fee or honorarium given in return for a speech or appearance made or article written in the employee’s official capacity. Employees may, however, direct that the fee or honorarium be deposited in a University account to be used for future University-related business activities.
NECESSARY EXPENSES/GIFTS TO THE STATE: payment or reimbursement of expenses to participate in a particular event may be acceptable under certain circumstances and, if received from a non-governmental entity, may also require a disclosure filing with the Office of State Ethics. “Necessary expenses" are limited to: necessary travel expenses, lodging for the nights before, of and after the appearance, speech, or event; meals and any related conference or seminar registration fees. “Gifts to the state” may also be acceptable to attend an event that is relevant to your state duties and do not require “active participation”.

POLITICAL ACTIVITY

Employees are not prohibited from seeking political office as long as it is not done on State time or with State equipment. However, any State employee who is elected to state political office may not be employed by two branches of state government simultaneously. Therefore, any employee who accepts an elective state office must resign or take a leave of absence from his/her position with the University. Consult the University By-Laws and inform your supervisor prior to participating in a political campaign.
No employee of the University will engage in partisan political activities while on state time. Additionally, no employee will use state materials or equipment for the purpose of influencing a political election of any sort.

MISCELLANEOUS: POST-EMPLOYMENT (REVOLVING DOOR) AND VENDOR NOTIFICATION

The State Code of Ethics contains several provisions regarding post-state employment. Prior to leaving employment with the University, all employees should review the applicable rules and, if necessary, seek guidance from the Ethics Liaison or The Office of State Ethics.

You may never use confidential information for financial gain for yourself or any other person. This is a lifetime prohibition. “Confidential Information” is any information not generally available to the public. The information may be in any form (written, photographic, recorded, computerized, etc.) including orally transmitted information, e.g., conversations, negotiations, etc.

You may not represent anyone concerning any particular matter in which you personally and substantially participated while in state service in which the state has a substantial interest.

You may not, for one year, represent anyone before your former agency for compensation

If you participated substantially in the negotiation or award of a state contract valued at $50,000 or more, you may not accept employment with a party to the contract for one year after leaving state service, if you resign within one year after the contract was signed.

No official or employee shall counsel, authorize or otherwise sanction action that violates any provision of the Code of Ethics.

The provisions of this document shall apply to all employees of the University of Connecticut. All current and future employees of the University shall be supplied with a copy of this document, and it shall be the responsibility of each employee to be familiar with these provisions and to comply with them. It is strongly suggested that employees avoid those situations which may give the appearance of being a conflict of interest. When in doubt or unsure about these provisions, an employee should contact either his or her supervisor, department head, or the University’s Ethics Liaison. Ultimately, The Office of State Ethics is the authority that determines what conduct constitutes an ethics violation under the law. Therefore, you are strongly encouraged to discuss any situation which may pose a conflict of interest or other ethics problem with the Office’s staff attorneys.

The University will notify vendors/contractors doing business with it of these provisions through its procurement officers. A summary of the State Code of Ethics as it applies to vendors will also be provided. Copies of this policy will be provided upon request.

Please note: Violations of the Code of Ethics may subject an employee to sanctions from agencies or systems external to the University. Whether this occurs or not, the University retains the right to independently review and respond administratively to violations. The conduct of the review and response will be in accordance with contractual and regulatory guidelines.

IMPORTANT ETHICS REFERENCE MATERIALS

It is strongly recommended that every employee read and review the following ethics materials:

The University’s Ethics Liaison is:

Kimberly Fearney, Associate Vice President and Chief Compliance Officer
Office of University Compliance
28 Professional Park Road (Unit 5084)
Storrs, CT 06268
Telephone Number: (860) 486-2530
Email: Kim.Fearney@uconn.edu

The contact information for the Office of State Ethics:

20 Trinity Street
Hartford, CT 06106
Office of State Ethics
Tel: (860) 263-2400
Fax: (860) 263-2402

POLICY HISTORY

Policy created: July 2006
Revisions: October 25, 2023; February 26, 2014; July 2009

General Rules of Conduct

Posted on May 24, 2011February 17, 2026 by

Title:	General Rules of Conduct
Policy Owner:	Human Resources
Applies to:	Faculty, Staff
Campus Applicability:	Storrs and Regional Campuses
Approval Date	February 27, 2024
Effective Date:	February 29, 2024
For More Information, Contact	Labor Relations
Contact Information:	(860) 486-5684 or laborrelations@uconn.edu
Official Website:	https://hr.uconn.edu/employee-relations/

PURPOSE

To outline expectations for employee conduct in the workplace.

POLICY STATEMENT

The University requires employees to adhere to the General Rules of Conduct and will hold employees accountable for violations. A supervisor’s failure to enforce a rule does not excuse employees from complying with it, nor does it prevent the University from taking disciplinary action thereafter. The below list is not exhaustive and other, more detailed policies on these topics remain in effect. Nothing in this policy constrains the University from pursuing criminal prosecution, if applicable, in addition to dealing with or responding to issues administratively.

The General Rules of Conduct prohibits the following:

Unlawfully distributing, selling or offering for sale, possessing, using, or being under the influence of alcohol, drugs, or controlled substances (including marijuana) when on the job or subject to duty;
Misusing or willfully neglecting University property, funds, materials, equipment, or supplies;
Fighting, engaging in unruly or disruptive behavior, or acting in any manner which endangers the safety of oneself or others. This prohibition includes but is not limited to acts of aggression, intentional or not, as well as threats of violence;
Marking or defacing walls, fixtures, equipment, machinery, or other University property, or willfully damaging or destroying property in any way;
Interfering in any way with the work of others;
Stealing or possessing without authority any equipment, tools, materials, or other property of the University, or attempting to remove them from the premises without written permission from the appropriate authority;
Being inattentive to duty, including but not limited to sleeping on the job;
Refusing to do assigned work or to work overtime if directed, working overtime without proper authorization, or failing to carry out the reasonable directive of a manager, supervisor, or department head;
Falsifying any time card, attendance report, or other University record, or giving false information to anyone whose duty it is to make such record;
Being repeatedly or continuously absent or late, being absent without notice or reason satisfactory to the University, or leaving one’s work assignment without authorization;
Conducting oneself in any manner, which is insulting, intimidating, threatening, physically or verbally abusive, or contrary to common decency or morality; making verbal or written remarks that are inflammatory, derogatory, discriminatory, harassing, or that create a hostile work environment;
Carrying out any form of harassment, including sexual harassment;
Operating state-owned vehicles or private vehicles for state business without proper license, or operating any vehicle on University property or on University business in an unsafe or improper manner;
Having an unauthorized weapon on University property;
Appropriating state or University equipment or resources for personal use or gain or appropriating state, University, student or employee time or effort for personal use or gain;
Engaging in actions which constitute a conflict of interest with one’s University job; including but not limited to, in the case of academic administrators and faculty, the teaching of credit courses at other educational institutions, unless approved in advance in accordance with established procedures;
Gambling or unauthorized solicitation;
Smoking or vaping within no-smoking areas;
Computer abuse, including but not limited to plagiarism of programs, accessing or viewing obscene or pornographic material, misuse of computer accounts, unauthorized destruction of files, creating illegal accounts, possession or use of unauthorized passwords, disruptive or annoying behavior on the computer, and non-work-related use of computer software and hardware;
Being convicted of a crime;
Engaging in activities which violate either the State’s or the University’s Code of Ethics;
Engaging in activities which are detrimental to the best interests of the University or the State;
Entering, using, or providing access to the worksite other than for work purposes or to unauthorized individuals;
Retaliating in any form or manner toward an employee or student for reporting a violation of any federal or state statute or regulation or University rule or policy;
Engaging in any form of sexual or unwelcome physical contact in the workplace;
Failing to cooperate or being untruthful in a University investigation.

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 and applicable collective bargaining agreements. When applicable, individuals may also be held accountable under the Student Code of Conduct.

PROCEDURES/FORMS

None

REFERENCES

Supervisors should contact Labor Relations at 860-486-5684 or laborrelations@uconn.edu regarding any suspected violation of the General Rules of Conduct.

POLICY HISTORY

Policy created: January 2004

Revisions: February 27, 2024 (Approved by the Senior Policy Council and the President)

Family Educational Rights and Privacy Act (FERPA) Policy

Posted on May 24, 2011September 1, 2026 by Fearney, Kimberly

Title:	FERPA Policy
Policy Owner:	Office of University Compliance
Applies to:	All University workforce members, students, and affiliates
Campus Applicability:	All UConn Campuses
Approval Date:	August 19, 2026
Effective Date:	August 31, 2026
For More Information, Contact	University Privacy Office
Contact Information:	privacy@uconn.edu
Official Website:	https://privacy.uconn.edu/

BACKGROUND

The Family Educational Rights and Privacy Act (FERPA) is a federal law that protects the privacy of student education records. FERPA governs access and disclosure of education records maintained by an educational institution and affords students with certain rights regarding their education records. The University is committed to maintaining the privacy of education records and ensuring these student rights in compliance with FERPA.

APPLIES TO

All University workforce members, students, and affiliates.

DEFINITIONS

Directory Information: Information contained in an education record of a student that would not generally be considered harmful or an invasion of privacy if disclosed.

Education Records: Records that are directly related to a student and maintained by the University or by a party acting for the University.

Legitimate Educational Interest: A school official has a legitimate educational interest if the official needs to review an education record in order to fulfill their professional responsibilities for the University.

School Official: A person employed by the University in an administrative, supervisory, academic, research, or support staff position (including law enforcement unit personnel and health staff); a person serving on the board of trustees; or a student serving on an official committee, such as a disciplinary or grievance committee. A school official also may include a volunteer or contractor outside of the University who performs an institutional service or function for which the school would otherwise use its own employees and who is under the direct control of the school with respect to the use and maintenance of personally identifiable information from education records, such as an attorney, auditor, collection agent, or a student volunteering to assist another school official in performing his or her tasks.

Student: Any person who is or has been in attendance at the University and regarding whom the University maintains education records. A person is considered to be in attendance at the University on the first day of classes for the program in which the person is enrolled.

POLICY STATEMENT

The University will ensure that students are afforded their rights under FERPA, including the right to inspect and review their education records, the right to request amendment of their education records, the right to limit disclosure of their education records, and the right to file a complaint concerning any alleged failure to comply with FERPA. In accordance with FERPA, the University has also designated certain categories of information, set forth in this policy, as Directory Information.

All University workforce members, students, and affiliates who have access to student education records are responsible for ensuring that such access, use, and disclosure is in compliance with FERPA and this Policy. Education records may be accessed only for legitimate educational purposes and may not be disclosed except as permitted by FERPA and this Policy.

A. Student Rights

FERPA affords students certain rights with respect to their education records. These rights include:

The right to inspect and review the student’s education records within 45 days after the day the University receives a request for access. A student should submit to the registrar, dean, department head, or other appropriate official, a written request that identifies the record(s) that the student wishes to inspect. The University official will make arrangements for access and notify the student of the time and place where the records may be inspected. If the records are not maintained by the University official to whom the request was submitted, that official shall advise the student of the correct official to whom the request should be addressed.
The right to request the amendment of the student’s education records that the student believes is inaccurate, misleading, or otherwise in violation of the student’s privacy rights under FERPA. A student who wishes to request an amendment of a record should write to the University official responsible for the record, clearly identify the part of the record the student wants changed, and specify why it should be changed. If the University decides not to amend the record as requested, the University will notify the student in writing of the decision and the student’s right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided to the student when notified of the right to a hearing.
The right to provide written consent before the University discloses personally identifiable information from the student’s education records, except to the extent FERPA authorizes disclosure without consent. FERPA permits the disclosure of personally identifiable information from students’ education records, without consent of the student, if the disclosure meets one or more of the following conditions:

- To school officials with legitimate educational interests.
- To officials of another school in which a student seeks or intends to enroll, or where the student is already enrolled if the disclosure is for purposes related to the student’s enrollment or transfer. The University will forward those records without notification to the student.
- To authorized representatives of the U.S. Comptroller General, the U.S. Attorney General, the U.S. Secretary of Education, or State and local educational authorities, in connection with an audit or evaluation of Federal or State supported education programs, or for the enforcement of or compliance with Federal legal requirements that relate to those programs.
- In connection with financial aid for which the student has applied or which the student has received, if the information is necessary to determine eligibility for the aid, determine the amount of the aid, determine the conditions of the aid, or enforce the terms and conditions of the aid.
- To organizations conducting studies for, or on behalf of, the University, in order to: develop, validate, or administer predictive tests; administer student aid programs; or improve instruction.
- To accrediting organizations to carry out their accrediting functions.
- To comply with a judicial order or lawfully issued subpoena.
- To appropriate parties in connection with a health or safety emergency.
- Information the University has designated as “directory information.”
- To a victim of an alleged perpetrator of a crime of violence or a non-forcible sex offense. The disclosure may only include the final results of the disciplinary proceeding with respect to that alleged crime or offense, regardless of the finding.
- To the general public, the final results of a disciplinary proceeding, if the school determines the student is an alleged perpetrator of a crime of violence or non-forcible sex offense and the student has committed a violation of the school’s rules or policies with respect to the allegation made against them.
- To parents of a student regarding the student’s violation of any Federal, State, or local law, or of any rule or policy of the school governing the use or possession of alcohol or a controlled substance if the school determines the student committed a disciplinary violation and the student is under the age of 21.
- The disclosure concerns sex offenders and other individuals required to register under section 170101 of the Violent Crime Control and Law Enforcement Act of 1994.

The right to file a complaint with the U.S. Department of Education concerning alleged failures by the University to comply with the requirements of FERPA. The name and address of the office that administers FERPA is:

Student Privacy Policy Office
U.S. Department of Education
400 Maryland Avenue, SW
Washington, DC 20202

B. Directory Information

FERPA authorizes the University to designate certain categories of information contained in education records as Directory Information and to disclose such information without prior consent, unless the student has opted-out of Directory Information in accordance with University procedures. The University has designated the following as Directory Information:

Name
NetID
PeopleSoft Number
School or College
Major Field of Study
Degree Sought
Class Level
Enrollment Status
Degrees, Honors & Awards Received
Residency/Match Information (Medical/Dental Students)
Dates of Attendance
Participation in Officially Recognized Activities and Sports
Weight, Height and Performance Statistics of Athletic Team Members
Photographic Likenesses and Video of Athletic Team Members
For Student Employees, Employing Department & Dates of Employment
Most Recent Educational Agency or Institution Attended

In addition, the University has designated the following as Limited Directory Information, the disclosure of which is limited to specific purposes and/or specific parties, as set forth below:

Photographs and Videos
Email Address
Mailing Address
Telephone Number
Date and Place of Birth

Limited Directory Information may only be used in official University publications or websites maintained by or on behalf of the University, including the University’s online directory and internal email system; or disclosed only to specific parties limited to the UConn Foundation and the UConn Law School Foundation.

Students may opt-out of their Directory Information being shared with third parties, except to the extent FERPA authorizes disclosure without consent, as set forth above. Students who would like to opt-out of their Directory Information being shared must make the request in writing.

At the Storrs and Regional Campuses, all requests must be directed to the One Stop Student Services, Wilbur Cross Building, Room 104, Storrs, CT 06269-4077, or onestop@uconn.edu.

At UConn Health, all requests must be directed to the Office of the Registrar, Student Services Center, 263 Farmington Avenue, Farmington, CT 06030-1826, or registrar@uchc.edu.

At the UConn Law School, all requests must be directed to the Office of the Registrar, Thomas J. Meskill Law Library, 39 Elizabeth Street, Room 211, Hartford, CT 06105, or law.registrar@uconn.edu

An opt-out of Directory Information will remain in effect until removed by written request of the student. Students who opt-out of Directory Information will be deemed to opt-out of Limited Directory Information.

ENFORCEMENT

PROCEDURES

FERPA Privacy Rights Procedures

REFERENCES

Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. §1232g; 34 CFR Part 99.

POLICY HISTORY

Policy created: 08/01/2007

Revisions:
02/01/2010
02/06/2013
02/13/2015
08/2016
01/19/2021
08/31/2026 (Approved by the University Senior Policy Council and President)