E-Mail - Is it public or private information?
The definition of a public record is found in Connecticut General Statute 1-200, "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, photostated, photographed or recorded by any other method". Accordingly, it is prudent that University employees consider
any e-mails or attachments shared between them and colleagues or outside parties as potentially public information. This warning includes use of
your office computer, lap top, home computer (if used for business
purposes) and even your Palm Pilot.
Some tips for proper e-mail awareness:
- Do not send or forward any e-mail message that you wouldn't want disclosed
in a court or
administrative proceeding. Some courts have ordered the
production of employees' computer hard drives as evidence.
- Never share confidential legal communication from
this office to
a colleague or friend. Doing so may waive the attorney-client
privilege.
- Save only e-mails required for records retention purposes.
- Remember, any message you want kept completely confidential
should be transmitted
by phone and, of course, never left on anyone's voice mail
system.
How do I know what e-mail records to destroy and what to keep?
If your records are litigation-related, please give us a call before
you delete or destroy
them! If there is the slightest threat of litigation, it may be crucial
to preserve records of any data that may or may not be referred to in the
State's Records Retention Policy. It is also important to note that the
purposeful destruction of crucial evidence for any litigation matter,
either current or anticipated, could later have adverse consequences. Therefore, if you have any questions about the importance
of any data, including electronic data, do not hesitate to contact this office for advice.
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Freedom of Information Requests (FOI) - University document requests
If you are asked to provide any information or documents in the
possession of the University of Connecticut under the Freedom of
Information Act, please contact the University's Privacy Officer, Attorney Rachel Krinsky Rudnick of the Office of Audit, Compliance & Ethics immediately for advice
before turning over any documents. She may be reached at 860-486-5256. These matters are time
sensitive and it is imperative that you forward these requests to
her as soon as you receive them.
If you are advised that you must provide the documents
requested, your department is responsible for copying them. The inherent copying and mailing costs may be charged back to the requestor, pursuant to state law. In addition, if the documentation requested is too
voluminous to be mailed or delivered, you may need to arrange for a
supervised review of documents by the requestor.
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Liability Insurance for University
As a State agency, the University of Connecticut is self-insured. Claims against the University are adjudicated by the State's Commissioner of Claims.
Anyone who believes they have suffered an injury or loss as a result of the University's negligence should contact the State Claims Commissioner for further information at (860) 566-2024.
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Liability Waivers - Off-Campus University Activities
If students are participating in voluntary field trips or other activities off campus, they should sign a STUDENT LIABILITY RELEASE, WAIVER AND DISCHARGE form. If you would like this office to create a liability form for your activity, please fax any available information to this office at 486-4369, and we will get back to you.
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Misappropriation of University Assets
The Whistle Blower Complaints
Section 4-61dd of the Connecticut General Statutes, also known as the
Whistle Blower Act, was created to encourage those with information about
any suspected misuse or misappropriation of State assets to feel confident
that any information they offer will be kept confidential and that they
may remain anonymous if they choose. If you wish to report any alleged
misuse, you may file a complaint with the State Auditors by calling (860)
566-1435. Additionally, you may report any alleged misuse of State
specific to the University of Connecticut to either the
Director of the University's Office of Internal Auditing at 486-4526, or
to the main Office of the Attorney General at (860) 808-5355.
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Records Retention
The University Library has an Archivist who must be contacted prior to the
disposal of all University documents. Her name is Betsy Pittman and she
will respond to any questions you may have regarding records retention
matters. Please contact Ms. Pittman at (860) 486-4507 or, e-mail her at
betsy.pittman@uconn.edu. Ms. Pittman can provide information packages,
one-on-one or group training sessions, and storage space for scheduled
records.
In addition, there are many documents that should, for logical reasons, be
retained for the purpose of any potential litigation/defense. Therefore,
if the documents you intend to destroy involve current or threatened litigation, please contact this office for further advice.
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Subpoenas - Service Upon University Employees
A subpoena is a written order issued by a court, an officer of the
court, or an administrative agency. It may require production of
documents and/or attendance at a deposition, hearing or trial by a
witness. There are different types of subpoenas issued by courts or
agencies. A careful reading of the subpoena will provide information
regarding what court or agency issued the subpoena and what type of
response is required.
If you are served or receive a subpoena to appear in court, an agency proceeding or a deposition in connection with your status as a State employee, please contact this office immediately. The subpoena will state a time/location for you to appear and will often direct you to compile and bring documents. Therefore, it is crucial that you contact the office, as it might be necessary for this office to file a motion or protective order on your behalf and to protect against the inappropriate disclosure of confidential documents.
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UNIVERSITY CONTRACT PREPARATION
REQUIRED STATE CONTRACT LANGUAGE:
If your contract is not written in the University's electronic Personal Service Agreement format (which should automatically incorporate the latest required State contract language), please check with your contract liaison to ensure that your contract includes the most current mandatory State contract terms and conditions. For this reason, auto renewal contracts are discouraged by this office.
The link (below) provides you with the Governors' Executive Orders, CHRO Non-Discrimination language, and other required terms and conditions required in all State contracts.
REQUIRED CONTRACT PROVISIONS 12-17-07
Remember - this language must be included on ALL State contracts regardless of type, term, cost or value (including income generating contracts).
NOTE: If any contractors or vendors request revisions or deletions in the State's required contract language, please contact this office for counsel.
CHECKLIST FOR CONTRACT REQUIREMENTS :
All contracts submitted for review and approval should include the Contract Submission Checklist below when delivered to the OAG:
ContractSubmissionChecklist
CONTRACT TEMPLATES: Any forms or templates offered on the University's contract web page are to be used only as a guide. Be sure to work closely with your contract liaison to obtain the correct language. Modifications to terms regarding the business of your transaction may be made as needed; however, the required State language must not be modified.
CONTRACT AMENDMENTS: Contract amendments must follow the same review and approval procedure as original contracts - first at the AG's office in Storrs for pre-review and then to Hartford for final review. In addition, copies of original contracts and prior amendments must be provided with all amendments submitted to this office for review and approval.
If you are amending an existing contract, please check to be sure that any State contract terms required since your original contract (or previous amendment) was approved are either incorporated within your new amendment.
Note: You cannot amend any contracts that have already expired. If your contract has expired, you must write a new one. See the sample amendment form (below) for further direction as to how deleted or substituted terms should be articulated.
Sample Amendment Form: AMENDMENT
ADDITIONAL MANDATORY STATE FORMS:
Note: These forms must accompany all University contracts submitted for review, regardless of type, term, cost or value.
The Offices of Policy and Management (OPM) and the Attorney General have created the forms (below) to assist State agencies in complying with the State of Connecticut's current contracting requirements, pursuant to the Connecticut General Statutes and Executive Orders of Governor M. Jodi Rell.
To Access Ethics Affidavits & Certifications for State Contracts
located at the State Office of Policy and Management (OPM), please go to:
Ethics Affidavits and Certifications
http://www.ct.gov/opm/cwp/view.asp?a=2982&q=386038&opmNav_GID=1806
To Access Required Nondiscrimination Certifications, please go to:
OPM: Nondiscrimination Certification
For further information about University contract preparation, as well as the regulations for the submission of OPM's ethics-related contract affidavits and certifications, please go to the following websites:
For information on University PSAs and all NON-GRANT FUNDED university contracts, please go to the University's Contract Web Page at:
contracts.uconn
For Grant-Funded University contracts, please go to the Office of Sponsored Programs web page at:
http://www.osp.uconn.edu/subawards.php
For Purchasing-related contracts, please go to the Purchasing Department's web page at:
www.purchasing.uconn
UNIVERSITY CONTRACT SIGNING AUTHORITY:
University contracts may be signed only by those who have been delegated authority to do so by the University's Board of Trustees.
To access the Board's most recent signing authority delegation for University contracts, please click below . . .
http://contracts.uconn.edu/forms/signature.pdf
Contract Negotiation/Responsibilities:
It is the responsibility of all University departments to negotiate the business concerns of their contract and present written documentation of all negotiations to date when submitting their draft contract to this office for review.
It is the responsibility of the AG's office to assist in review, negotiation of legally-impermissible terms and final approval (when required).
Once recommendations have been made by this office, departments will be responsible for editing their contracts and resubmitting them for final review and approval (when required).
University Contract and Document Review and Approval Process
University Contracts/Agreements for either the expenditure or receipt of funds* by the State take many forms, including, but not limited to: Purchasing Agreements (typically competitive in nature); Memoranda of Agreement or Understanding (used for use between Departments or State agencies); Affiliation Agreements; Software License Agreements; Facility Use Agreements; Partnership Agreements; Cooperation Agreements; Leases, Deeds, Easements; Purchase and Sale Agreements; and, agreements for unique, professional or technical services, a/k/a Personal Service Agreements or PSAs (typically noncompetitive in nature).
*While the majority of University agreements involve an exchange of funds, some exchange only services or goods. Regardless, they may include impermissible liability language that should be reviewed by this office.
To ensure correct form and legal sufficiency, all University contracts, agreements or documents may be submitted for review to the Office of the Attorney General by you or your contract liaison.
Please deliver or fax (486-4369) your request for legal review to our office on the Storrs campus. Do not e-mail your request for review unless this office specifically requests an electronic version. All requests for legal review are handled in the order they are received.
FOR THE MOST RECENT CONTRACT PRESENTATION AT THE UNIVERSITY'S FISCAL AND ADMINISTRATIVE INSTITUTE FOR TRAINING (FAIT) JUST CLICK THIS LINK:
FAIT_OAG_PowerPoint 11 28 07
ATTORNEY GENERAL APPROVAL AUTHORITY:
The authority for the Attorney General (AG) to review contracts is CGS 3-125, which charges the AG with the "general supervision over all legal matters in which state is an interested party. . . ." Another statutory provision (CGS 4b-26) authorizes the AG to review State realty contracts and leases.
While the Office of the Attorney General (as another State agency) cannot execute contracts on behalf of the University, its role is to review and approve University contracts for legal sufficiency, substance and form. All contracts (including amendments) up to $100,000 are approved by the Department Head of the AG's Education Department and those over $100,000 are forwarded to an Associate Attorney General for execution.
To expedite approval of all University agreements or to acquire contract templates, please have your contract liaison contact the Office of the Attorney General at the Storrs campus of UConn at 860 486-4241 or deliver your draft agreement for pre-review to our office at 343 Mansfield Avenue in the Budds Building.
Note: When you submit contracts for review, remember that University contracts are pre-reviewed in the order received at the Storrs-based AG office before they are submitted for final review and approval by the Hartford AG's office. If you have questions regarding proper contract language or form, please contact your University contract liaisons, who will consult with this office for further guidance as to legal sufficiency.
PLEASE PLAN AHEAD . . .
Note: All Deans, Directors and Department Heads should provide their staff with a completed Contract Preparation Request Form (ContractRequestForm) so they may have a complete understanding of the nature of the contract you would like them to draft. Please review them carefully before sending them for approval, as required revisions will delay your important contracts.
It is important to allow 60-90 days before services are to begin for your contract to be drafted, reviewed, executed and approved by this office. You need to build in enough time for your contract to pass through the preparation, execution and approval process, as follows:
1. acquire contractor's terms, prepare a draft, forward it to your contract liaison for pre-review;
2. send to the contractor for review and execution (requesting their signing authority documentation, ethics affidavits and certifications);
3. provide it to your contract liaison for execution by the University;
4. deliver it to the Storrs AG's office for initial review (with written documentation of negotiations to date); and
5. await final review and approval at the AG's Hartford office.
Remember - Services should not begin and payment cannot be made until the contract is approved by the Attorney General.
REMEMBER: When you submit your contracts for review and approval, your cover note should:
(a) identify any remaining legal issues that you are unable to resolve with your contractor, as well as written documentation of your negotiations to date;
(b) provide departmental contact information (phone and e-mail);
(c) include all supporting documentation [i.e. proper signature authority documentation, affidavits, certifications, referenced documents, etc];
(d) provide contractor's legal counsel data (if necessary) and their contact information (phone and e-mail); and
(e) describe any time sensitivity of your contract.
REMEMBER: Pursuant to University policy, all contracts should be submitted to your contract liaison sixty (60) days prior to the start of services and no services should begin before your contract is executed by the proper parties and approved by the Office of the Attorney General.
LATE SUBMITTAL FORM : Contracts that are not provided for approval sixty (60) days prior to the start of services, must also include a Late Submittal Form, which can be obtained from your University contract liaison.
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Use of the UCONN Indicia/Logo
The University of Connecticut seal and signature logos are designed elements and may not be used without permission or altered in any way.
- University seal and signatures Homepage:
University Logos and Usage
Note: Please remember to read the University Graphics Standards
Manual for instruction on the proper usage of University images.
- To use UConn logos and University indicia, such as the
Husky Dog, please contact Tim Tolokan at: (860) 486-9097.
- For further information about the Health Center seal and signature artwork, please contact the Office of Communications at (860) 679-1769.
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