Agenda and Meeting Materials - UConn School of Medicine ...

Approval of the minutes 

• January 17, 2013 

Consent Items 

Education Council 

Agenda 

February 21, 2013 

Business Items 

• Revised Grades and Transcripts process 

• New Professionalism document 

Informational Items 

• Update from the ad hoc committee on EC’s charge 

Standing Monthly Reports 

• GME 

• GPC 

• CME 

• CUME 

The next meeting will be held on 

April 18, 2013 at 4:30pm 

Walker, AG070

Education Council 

January 17, 2013 

Minutes of the Meeting 

Present (voting): Rose, S. (chair); Adler, A.; Aguila, H.; Alerte, A.; Angus, S.; Dimario, F.; Dodge-‐Kafka, K.; Guerrera, M.; Kream, B.; 

Puddington, L.; Taxel, P.; Wetstone, S.; Zalneraitis, E. 

(non-‐voting): Huey, L.; Mains, D.; Nissen, K.; 

Excused (voting): Alerte, A.; Dieckhaus, K.; 

(non-‐voting): 

Guests: 

Topics Discussion Outcome/Action 

Items 

GME Update (K. Dr. Nissen noted: 

None. 

Nissen/E. 

• Reviews in February 

Zalneraitis) 

• Changes in program directors of note 

• Review of new programs and expanded programs – changes in how things 

happen, possible moratorium 

GPC (B. Kream) In the middle of admissions and preparing for new students. None. 

CME (L. Huey) Dr. Huey noted various updates. None. 

CUME (S. Rose) Dr. Rose noted: 

• Professionalism Task Force report in review at CUME 

• Next month a discussion on grades to comply with guidelines 

• Currently in process of audit from Storrs on body donation program – official 

response presently being crafted, external requests for use of the anatomy 

None. 

Education Council - February 2013 

Page 1

Minutes of 

November 15, 2012 

Faculty and Trainee 

Compact (K. Nissen) 

GME Audit (K. 

Nissen) 

lab, guidelines are being written 

• UME Retreat 

Changes to COI: 

• Question was whether we are beyond our scope, Dr. Torti should be made 

aware of the policy 

• History of the compact in the committees 

• Revisions suggested by CUME 

• Compact will go out to all affiliated faculty 

• Audited internal controls with accounts for accuracy 

• Motivation for auditing 

• Received feedback that the process for billing was quite good 

• Reviewed charts of when a resident was at a hospital as compared to when 

the chart said they were to be at the hospital – some issues with 

documentation in this area, issues with non-‐integrative technology systems – 

reviewed supervision policies 

• Response to the audit has been written 

• Recommendation for password changes, however, those passwords do not 

protect any confidential health information 

Discussion from the council: 

• Audit responses are FOI-‐able, despite their being draft 

• Discussion on FOI documents 

Approved with 

revisions. Dr. Torti 

and Chairs have 

reviewed 

Approved. 

Unanimous. 

Place in Policies 

Handbook 

Distribute to faculty 

here and our 

community and 

affiliated faculty 

None. 


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Ad hoc committee 

on visiting students 

(E. Zalneraitis) 

• Suggestion to put areas of strengths/weakness that should be highlighted 

from the audit report as opposed to complete details 

• Overview of information compiled by the ad hoc committee: 

1. Gather current and anticipated UConn clinical training needs data from 

clerkship directors (should already be done), and GME program 

directors. 

2. Assess current clinical training capacity at affiliate hospitals and through 

a survey of the Assistant Deans. 

3. Identify current clinical training already offered through the affiliates: 

medical students, allied health professional students, residents and 

fellows 

4. Monitor and track the above information regularly 

5. Revise the affiliation agreements to include that the institutions will give 

priority to UConn medical students and other learners, before allowing 

outside learners access. 

6. Establish a process to accommodate a limited number of observers, to 

prevent adverse consequences of the presence of these learners. 

7. Set the process for considering outside students and other learners to 

best advantage the hospitals and GME programs, and including a 

reasonable timeline to follow for the assignment of clinical opportunities 

to outside learners. 

8. Establish fees to cover costs of enrolling outside learners. These should 

at least cover administrative costs, and could include educational fees. 

• Potential for the UConn to have difficulty finding clinical sites 

• Competition for clinical opportunities 

• Other institutions are prepared to pay significant fees in order to utilize 

clinical sites 

• VSAS system 

Reconvene the ad 

hoc committee and 

have them work 

with #6 and 7. 

Administration is 

considering #8 

Check our affiliation 

agreements and 

confirm with EC the 

language related to 

our students’ and 

learners’ 

educational 

experiences being 

adequate and not 

adversely affected 

by quantity of 

learnrs 


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• Recommendation – gather a list of clinical needs, assess capacity of the 

hospitals, identify current clinical training offered, revise affiliation 

agreements to give priority, establish a process for observers, etc. as listed in 

the document from the ad hoc committee 

• Model of a form from CCMC 

Discussion from the council: 

• Recommendations may need additional investigation 

• Question as to how to measure capacity and whether a hard number can be 

determined 

• Areas of challenge with regard to clinical sites 

• Data on clinical sites is changeable and therefore the policy needs to be 

focused on getting the adequate experience for our students – guarantee of 

this experience should be provided for in the affiliation agreement 

• Suggestion that this is not the correct time to make changes to the affiliation 

agreements that could be contentious 

• Question as to whether or not to have a tool in place for leverage with the 

affiliates 

• Numbers 1 – 4 of recommendations is not committee work but the work of 

GME and UME individuals 

• Comment that there could be a dialogue between the key players at schools 

and hospitals to see if there is a way to work together – question as to 

whether there is another way/process for building goodwill 

• Comment that it could be better to focus on what we could give the hospitals 

to ensure they continue to provide opportunities for our students 

• Comment about the importance of ensuring our longevity 

• Restatement of the purpose of the ad hoc committee 

• Suggestion to work on 6 – 8: policies are needed (8 is presently in process) 


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• Discussion on the observerships offered through Human Resources and how 

that impacts GME and GME policies – suggestion for the Associate Dean of 

GME to be made aware of the observers and one policy to be created and the 

appropriate individuals made aware of the policy 

• Debate on observerships and the policy to deal with observers 

• Suggestion for one policy with a way to track it 

• Comment that there are outside research students coming into UConn who 

are also being exposed to clinical opportunities 

Ad hoc committee 

on EC’s charge 

Second meeting at the end of the month. None. 

Educational Space Architect has been chosen, and a committee will be convened for program planning. None. 

For the next meeting – Meeting may be canceled based on whether or not there are agenda items. 

Meeting adjourned at 5:43pm 


Page 5

Evaluation of Student Performance 

Overview 

The admissions process of UCONN School of Medicine intends to select students who 

possess the ability to meet the intellectual, ethical, emotional, physical and the academic 

requirements of the undergraduate program of medical education. These standards are 

further detailed in the Technical Standards document. 

Examinations are viewed as instruments for the promotion of learning, as an 

encouragement to each student to achieve his/her maximum potential, and as an 

opportunity to develop the capacity for self-evaluation and self-knowledge. The school 

will conduct periodic assessment of students' knowledge, skills, and attitudes. 

Examinations may be utilized as only one component in the total evaluation of a student's 

performance during a course/clerkship. Responsibility, dependability, reliability, and the 

ability to meet the technical standards and to relate in an appropriate manner to patients 

and interact effectively with faculty and staff are all factors to be considered in the 

evaluative process. 

At the beginning of a course, the course director should clearly delineate the criteria 

utilized for assessment of student performance. This should include the number and 

format of all examinations, the weighting of examinations in the determination of a final 

grade, any other grade components: small group evaluations, assignments, 

professionalism, etc. and must identify the criteria for passing the course or clerkship, as 

well as the specific weight to be given to examination scores. In general, there will be no 

changes in assessment requirements in the middle of an academic year; in exceptional 

circumstances with the approval of CUME, any changes in assessment criteria once a 

course/clerkship has begun will be clearly communicated to all students in a timely 

fashion. 

The transcript will reflect a complete and accurate grading history for all courses in the 

medical school. This is consistent with guidelines from the AAMC and most universities 

and colleges. 

Years One and Two 

All courses remain Pass/Fail in Years One and Two. There is no official ranking of 

students in courses or overall for these two years of medical school. Grades are not, 

however, anonymous and there is an unofficial (i.e., not part of the permanent record) 

tracking system of identifying students having difficulty in courses for the sole purposes 

of identifying weaknesses and helping students develop strategies for success, known 

unofficially as the “shadow tracking system.” 

1. Students passing the course will have a P indicated on the transcript for that 

course. 


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2. If a student fails to complete a required assignment because of negligence or does 

not meet competency criteria for an assignment, the grade will be submitted to the 

Registrar as a "C" (Conditional). Upon successful completion the grade will be 

changed to C/P indicating that the pass was conditional on completing an 

additional step. 

3. If a student fails the course and must remediate with additional coursework or 

self-study in order to repeat a final examination, the initial grade will be submitted 

as an "F" and will be changed to F/P (Original grade of F but successfully Passed 

after remediation) upon successful completion of the exam. 

4. Any failure of a component of a course for a student already known to the 

Academic Advancement Committee (either a C or F) will be reported to the AAC. 

A repeat attempt is considered Serious Academic Difficulty and the matter is 

always referred to the Academic Advancement Committee for discussion and 

resolution. 

NOTE: All course and clerkship directors will clearly define on the course website what 

components of the assessments when failed or incomplete would represent a C vs an F. 

Failure of the Professionalism component of any course or clerkship is an F. 

Years Three and Four 

Courses and clerkships in Years 3 and 4 are graded Pass/Fail. The school has 

transformed the two previous courses (MAX and in-patient) to individual clerkships with 

grades assigned as separate clerkships and indicated on the transcript. There is an 

opportunity to achieve a grade of HONORS in the following disciplines (clerkships): 

internal medicine, pediatrics, surgery, family medicine, psychiatry, and 

obstetrics/gynecology. 

If a student fails a final examination or a component of the clerkship which is not part of 

the clinical assessment or a professionalism component, the student will receive a grade 

of C for the clerkship. This grade will change to C/P for the clerkship upon successful 

completion of the examination or other assignment or activity. The C on the transcript 

will reflect the fact that the pass was conditional and the student was required to complete 

an extra step prior to receiving a passing grade. 

If the student should fail a final exam a second time, he or she will receive an F for the 

clerkship and course and at a minimum will be required to repeat the clerkship (after 

presentation to the AAC, taking the entire academic history into account) and then the 

shelf examination. Failure of a clinical component of a clerkship or in Professionalism 

will result in a grade of F for the clerkship and course. The initial grade submission of F 

will be forwarded to the Registrar and will be changed to F/P upon successful completion 

of a remediation experience which would be determined by the Academic Advancement 

Committee with input from the Course Grading Committee. 


Page 7

Each clerkship director must publish grading criteria on the course website and indicate if 

a C or F would appear for failing each component of the grade. 

A student receiving an initial grade of C or F is ineligible for honors in any clerkship. 

There are three courses in Year 4: Advanced Clinical Experience (ACE), Electives, and 

Selective. The above policy for year 3 applies to the ACE course. Honors in year 4 are 

in each of four components of ACE: Advanced Inpatient Experience (subinternship), 

Critical Care, Emergency Medicine and Radiology. 

In all cases, the clerkship narrative that is included in the MSPE, will accurately reflect 

the course of events and will stress the positive aspects of success upon remediation. 

Grade of Incomplete 

A grade of incomplete due to absence can only be given with consent of Student Affairs 

and is reserved for serious emergencies or illness. Once completed, the grade will simply 

change to a P but the absence or leave may be reflected in the MSPE under Academic 

History. 

Withdrawals from Courses and Clerkships 

A student taking a leave while in academic difficulty will have a statement in the MSPE 

that the leave was taken while in academic difficulty. If the student must withdraw from 

the course or clerkship while failing the transcript will indicate WF (withdraw while 

failing) or a WC (withdraw with concern for failing). If the student has completed all 

assessments satisfactorily to date, the transcript will indicate WP (withdraw while 

passing). Course and clerkship directors will decide in advance what constitutes a WF, 

WC, or WP. 


Page 8

Academic Policies & Procedures 

(PROFESSIONALISM COMMITTEE) 

(DRAFT #5) 


Page 9

Table of Contents 

I. Curriculum Governance…………………………………………………………….. 4 

A. Organizations Structure for Curriculum Governance 

B. Duties and Responsibilities 

II. Combined Degree Programs………………………………………………………. 12 

III. Course and Section Place Outs……………………………………………………. 12 

IV. Examination Administration Procedures……………………………………… 13 

A. Early Takes 

B. Late Takes 

C. No Takes 

D. Location 

E. Time of Examinations 

F. Conditions 

G. Special Allowances 

H. Proctors 

I. Cheating 

J. Securing Examinations 

K. Protests 

V. Examination Grading…………………………………………………………………….. 16 

VI. Course Grades………………………………………………………………………………. 17 

A. Grades of Record 

B. Honors for Clinical Disciplines 

C. Course Grading Committee (CGC) 

VII. Academic Advancement……………………………………………………………….. 21 

A. Graduation, Promotion and Disciplinary Action 

B. Board Failures and Remediation 

C. Graduation Requirements 

D. Leave of Absence 

VIII. Student Appeals……………………………………………………………………………… 25 

A. Course Grading Committee 

B. Academic Advancement Committee 

C. Student Evaluation and Appeals Committee (SEARC) 

IX. Student Records………………………………………………………………………………… 29 

A. Access to Student Records 

B. Examination Profiles 

C. Faculty Access to Grades 

D. Academic and Career Advising 

E. Transcripts 


Page 10

X. Professionalism………………………………………………………………………………….. 36 

XI. Dress Code………………………………………………………………………………………... 36 

XII. Duty Hours……………………………………………………………………………………….. 36 

XIII. Attendance ………………………………….…………………………………………………… 37 

A. Years 1 and 2 Reporting 

B. Years 3 and 4 Reporting 

C. Residency Interviews 

XIV. Student Honor Code…………………………………………………………………………. 40 

XV. Visiting Students……………………………………………………………………………… 41 

XVI. Impaired Students…………………………………………………………………………. 42 

A. Voluntary Confidential assistance 

B. Referred Confidential assistance 

C. Mandated Confidential assistance 

D. Failure of Treatment 

E. Appeal Process 

XVII. M. D. Enrichment Program……………………………………………………………. 44 

XVIII. Eligibility for Summer Research Programs……………………………………. 45 

XIX. Clinical Experiential……………………………………………………………………… 46 

XX. Procedures for Evaluation of Courses and Faculty Teaching………... 46 

A. Student Evaluation of Clinical Teaching 

B. Student Evaluation of Resident Teaching 

C. Timeliness of Narrative Feedback 

D. Collection of Data 

E. Dissemination of Data 

XXI. Supervision of Students by Healthcare Providers……………………………… 50 

Appendix A: Honor Code…………………………………………………………………………………. 51 

I. The Honor Code 

II. Implementing the Honor Code: The Honor Board Policy Committee 

III. The Honor Board 

IV. Honor Board Procedures 

Appendix B: CHIPS Program……………………………………………………………………………… 60 

What is CHIPS? 

Why the CHIPS Program 

A Few Words about Impairment 


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How Do You Use CHIPS? 

What is the Cost of CHIPS 

How Does CHIPS Work? 

The CHIPS Program is Confidential 

Failure of Treatment 

Web Site 

Appendix C: Compact Faculty and Undergraduate and Graduate…………………… 62 

Guiding Principles 

Appendix D: Code of Professionalism……………………………………………………………. 63 

1. Code of Professionalism 

2. Reporting Violations of Professionalism 

3. Reporting Exemplary Efforts in Professionalism 

4. Professionalism Incident Report Committee (PIRT) 

5. Professionalism Review Board (PRB) 

Appendix E: Professionalism Incident Report……………………………………………….. 68 

Appendix F: UConn and UConn Health Center Codes and Policies……………….. 69 


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X. Professionalism 

Students are expected to maintain high standards of personal and professional integrity and 

conduct at all times. The ‘Code of Professionalism’ addresses appropriate and acceptable 

behavior expected of medical students in their role as healthcare professionals. This document 

(see Appendix D) was created as a guide to help invoke appropriate behavior in all areas of 

professional conduct and outlines the expected student competencies in professionalism. Other 

models for professionalism are found in several Health Center and School of Medicine 

documents including the ‘Student Honor Code’ (see Appendix A) and the ‘Compact Between 

Faculty and Undergraduate and Graduate Medical Trainees’ (see Appendix C). The 

University of Connecticut Health Center also has rules of conduct which students are expected 

to uphold (see Appendix F ). 

Any individual who wishes to file a report on a student for either praise or concern regarding 

professionalism should use the Professionalism Incident Report Form (see Appendix E). 

. 


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Appendix D: University of Connecticut School of Medicine Code of Professionalism Conduct 

I. Code of Professionalism 

The Code of Professionalism (“the Code”) is a guide for appropriate and acceptable behavior and a model 

to uphold the standards of the healthcare professions. While this code cannot fully address every 

situation that may develop, it shall serve as a model to invoke appropriate behavior in all areas of 

professional conduct as well as to outline the expected student competencies in professionalism. The 

codes and policies listed in Appendix A provide additional guidance. 

The concept of medical professionalism is both an acknowledgement of virtuous values expected in one’s 

role as physician and the implementation of appropriate behavior that embodies these values. These can be 

categorized as follows: 

Integrity: 

• Display honesty and integrity with patients, families, the healthcare team, community 

members, faculty, and others 

• Maintain appropriate professional boundaries and avoid exploitation of patients for any 

sexual advantage, personal financial gain, or other private purposes 

• Be able to identify potential conflict of interest arising from the influence of marketing and 

advertising, as well as financial and organizational arrangements 

Respect: 

• Show respect for others, including appropriate grooming, punctuality, courtesy, nonderogatory 

backroom discussions, inclusiveness, and use of acceptable language and humor 

• Recognize and be sensitive to culture, race, disabilities, age, and other differences in order 

to prevent health care discrimination 

Altruism: 

• Demonstrate altruism and advocacy by a commitment to promote health care needs of 

patients and society 

• Improving quality and access to care and a just distribution of finite resources 

• Display compassion and empathy in words and deeds when dealing with patients, families, 

peers, the healthcare team, community members, faculty, and others 

Duty / Responsibility: 

• Avoid engaging in patient care responsibilities if emotionally or physically impaired 

• Complete duties in a timely fashion 

• Maintain appropriate confidentiality 

• Accept responsibility for errors and evaluate failures in education and patient care 


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• Recognize and accept personal limitations in knowledge, skill, and behavior, seeking 

guidance and supervision when appropriate 

• Identify and appropriately respond to unprofessional behavior in others 

• Participate in defining, organizing, and evaluating the educational process for current and 

future students 

• Be willing and capable to work collaboratively and resolve conflicts in a variety of settings 

to achieve optimal patient care and educational goals of all involved 

Excellence: 

• Commit to self-improvement, including being open and responsive to feedback, reflection 

and self-evaluation, and actively setting and pursuing learning goals and applying 

knowledge gained 

• Recognize the role of wellness in the practice of medicine 

• Apply legal and ethical principles to patient care, clinical research, and the practice of 

medicine 

Professional behavior is expected in all situations and locations, not just at UCHC and affiliated teaching 

hospitals. Unprofessional behavior at off-campus locations and in cyberspace reflects poorly on the 

individual, the SOM, and the University of Connecticut. All reports of unprofessional behavior, including 

arrests, will be referred to SOM Professionalism Incident Report Triage (PIRT) regardless of the location 

where it occurred (see section IV below). 

II. Reporting Violations of Professionalism 

Any individual can report misconduct including but not limited to medical and dental students, program 

directors, deans, faculty, residents and fellows, or any other individual who has contact with the student. 

Moreover, it is expected that students will self report unprofessional behavior. Self reporting 

unprofessional behavior will be viewed favorably and can serve as an opportunity for self reflection and 

improvement. Students must notify the school in the event they are arrested or cited for violation of Health 

Center rules, or local, state, or federal laws (exceptions being traffic violations not involving impaired 

driving); failure to do so would be regarded as a professionalism violation. 

All incidences of professional misconduct should be reported to Professionalism Incident Report Triage 

(PIRT). This is accomplished by completing a ‘Professionalism Incident Report’ (Appendix E) and 

submitting the report by any of the following methods: 

• E-mail to one of the PIRT Co-chairs 

• Health Center mail to one of the PIRT Co-chairs (MC-1922) 

• USPS mail to one of the PIRT Co-chairs (MC-1922, Office of Academic Affairs 

and Education, University of Connecticut Medical School, 263 Farmington Ave., 

Farmington, CT 06030) 

• Directly deliver to the Office of Academic Affairs and Education staff (AG-050) 

An individual may not wish to personally submit an incident report and may decide to report the incident 

to a member of the Honor Board or the Assoicate Dean of Student Affairs who will then be responsible for 

completing a ‘Professionalism Incident Report.’ Although it is recommended that the reporting individual 

identify him/herself in case further details are needed, this is not required to submit a report. 


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III. Reporting Exemplary Efforts in Professionalism 

In order to fulfill the competency requirements in professionalism, all students graduating from the 

University of Connecticut Medical School are expected to demonstrate and maintain a high standard of 

personal and professional integrity as outlined in the University of Connecticut Medical School Code of 

Professionalism (Appendix D). On some occasions, a student may demonstrate unusually meritorious 

behavior in professionalism deserving of distinctive praise. For these incidents of commendation, a report 

of ‘praise’ may be filed. Although submission of these exemplary accounts is directed towards 

course/clerkship coordinators, the Associate Dean of Medical Student Affairs, Senior Associate Dean for 

Education, or any individual can complete and submit a report of this nature. 

This is accomplished by completing a ‘Professionalism Incident Report’ (Appendix E) and submitting the 

report to Professionalism Incident Report Triage (PIRT) by any of the following methods: 

• E-mail to one of the PIRT Co-chairs 

• Health Center mail to one of the PIRT Co-chairs (MC-1922) 

• USPS mail to one of the PIRT Co-chairs (MC-1922, Office of Academic Affairs 

and Education, University of Connecticut Medical School, 263 Farmington Ave., 

Farmington, CT 06030) 

• Directly deliver to the Office of Academic Affairs and Education staff (AG-050) 

IV. Professionalism Incident Report Triage (PIRT) 

Because of the varied categories of incidents that can occur, having one central depository for 

professionalism issues is ideal to decrease confusion about where to submit reports. PIRT serves as a 

central clearing-house for any matter, either positive or negative, concerning professionalism at the 

University of Connecticut Medical School. 

A. Membership 

The PIRT is composed of 4 individuals chosen for their experience in dealing with matters of 

professionalism. These members are: 

• PIRT Co-Chairperson 

• PIRT Co-Chairperson 

• Associate Dean, Medical Student Affairs 

• Faculty Advisor, Honor Board 

The Co-Chairpersons shall be appointed by the Senior Associate Dean of Education. These two 

positions are held for two year duration with re-appointments made at the discretion of the Senior 

Associate Dean of Education. The appointments will be staggered, with the re-appointment of one 

Co-Chairperson made each year. 

B. PIRT Procedure 

The PIRT Chairperson(s) shall review and act upon all Professionalism Incident Reports and, after 

consultation with other members of the committee, will determine the final destination of each 

report; this will be accomplished within 4 business days of receiving a report. The destination of 

each report may vary, but some examples are as follows: 


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• PIRT student file 

• Honor Board 

• Confidential Help for Impaired Professional Students (CHIPS) 

• Associate Dean, Medical Student Affairs 

• Academic Advancement Committee (AAC) 

• Professionalism Review Board (PRB) 

• Local Law Enforcement 

• Course/Clerkship Director 

If a face-to-face meeting has not already performed by the individual submitting the formal 

incident report, a face-to-face meeting between the student and a PIRT committee member will be 

held for all reports of a negative nature to ensure the student is aware of both the report and the 

process of addressing each reportFor those reports of a positive nature, a face-to-face meeting with 

the student is encouraged but not required. 

C. PIRT Student Files 

A copy of all negative incident reports submitted to PIRT will be placed in the PIRT student files. 

If a negative incident report is not acted upon by PIRT, the file will be reviewed to see if the report 

is an isolated event or indicative of apattern of negative behavior. At the discretion of PIRT, if a 

pattern is present, the student file may be forwarded directly to the AAC. 

All positive/exemplary incident reports submitted to PIRT will be placed in the PIRT student files. 

Copies of each praise report will be sent to the student as well as to the student’s permanent file in 

the office of Student Affairs and may be mentioned in their Medical School Performance 

Evaluation (MSPE) as per the decision of the Professionalism Honors Committee. 

All PIRT files will be retained in the office of Academic Affairs and Education and will not be part 

of any permanent student record. Upon a student’s graduation, all related PIRT student files will 

be destroyed. 

V. Professionalism Review Board (PRB) 

If a negative professionalism incident is determined to be of a serious and significant nature, but is 

deemed by PIRT to necessitate investigation beyond the purview or scope of the Honor Board, the 

Associate Dean of Student Affairs, or other report destinations, then this significant incident will be 

referred to the Professionalism Review Board (PRB). 

A. Membership 

The PRB shall consist of 5 voting members, one non-voting member, and four alternate members 

who shall attend each meeting and who may be designated by the PRB Chair to vote in the place of 

absent member. These ‘core members’ are: 

• PIRT Co-Chairperson – PRB Chair (voting) 

• PIRT Co-Chairperson – PRB Case Officer (non-voting) 

• Two (2) Student members (voting) 

• Two (4) Alternate Student member (non-voting) 


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• Two (2) Faculty Member (voting) 

• Two (2) Alternate Faculty Member (non-voting) 

1. PIRT Co-Chairpersons: The two PIRT Co-Chairpersons shall decide between each 

other who shall be PRB Chair and who shall act as PRB Case Officer. These roles 

should be alternated with each respective incident report. 

1. Faculty Members: Two members of the faculty will be appointed each year by the 

PIRT Co-chairpersons, with voting status between the two alternating with each 

respective incident report. Each faculty member will serve a two year-term. 

2. Student Members: The first year class shall elect one student during October, who will 

ideally serve a four-year term. In addition, during April of the second year, the second 

year class shall elect an additional member to begin serving on July 1 st of their third 

year and shall complete their term upon graduation. The students from both the 1 st and 

2 nd year class shall serve as alternates. In regards to the students from the 3 rd and the 4 th 

year class, one student from each class will serve as alternate while the other will serve 

as a voting member; voting status between the two should alternate with each 

respective incident report. All elected students will serve on the PRB as long as they 

remain members in good standing in their class. In cases of a student leaving 

prematurely before the end of their term, supplemental elections will be held as 

necessary. 

3. Additional Members: At the discretion of the PRB Chair, additional ad hoc ‘non-core’ 

members may be added to the PRB roster depending on the case being investigated and 

may be granted either voting or non-voting status. 

B. PRB Procedure 

• Any allegation that is brought before the PRB shall be treated as confidential by the 

individual completing the formal Professionalism Incident Report as well as by the 

members, alternate members, and ad hoc members of the PRB. 

• The PRB Chair and PRB Case Officer may decide to assemble the PRB for a formal 

investigation, or may choose to initiate a preliminary investigation to determine if the 

reported breach of professionalism has merit. If the complaint is determined to be without 

merit, both the student and the individual submitting the Professionalism Incident Report 

will be informed of this determination in writing and that the process has been concluded. 

A notation regarding the dismissal of this report will be placed in confidence in the 

student’s PIRT file. No record or note of the report will be submitted to the student’s 

permanent file in the Office of Academic Affairs. If it is determined that the complaint 

indeed has merit, the Chair will assemble the board and determine the schedule of the 

investigation. In the event of an absence of a voting member, the alternate faculty or 

alternate student member shall serve as a voting member at the meeting. A quorum to 

conduct business shall consist of 5 ‘voting ‘core members’ of the PRB. 

• The PRB Case Officer will be responsible for organizing the collection of material as well 

as contacting witnesses and other relevant individuals. 

C. PRB Investigative Hearing: 

• The investigative hearing is scheduled by the PRB Chair at which a quorum of the PRB 

must be present. 


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• Legal counsel or other external parties will not be present during the hearing. However, 

the student being investigated may wish to invite a University of Connecticut Medical 

School medical student, faculty member, or staff member as a personal advisor. This 

personal advisor must agree to maintain strict confidentiality with regards to all aspects of 

the proceedings. Although the personal advisor will not be allowed to speak on the 

student’s behalf at the investigation, the student can confer with the advisor at any time 

during the hearing. 

• If the PRB or student being investigated wishes, a video or audio tape recording or 

simultaneous transcript may be made of the proceedings. This request must be made 2 

days prior to the proceedings, and provided that the party making or requesting such 

recording bears the financial responsibility for such recordings, the opposing party is given 

reasonable opportunity to obtain a copy of such recording at his/her own expense, and any 

such recordings are maintained in strict confidentiality with respect to anyone not a party to 

the proceedings. 

• At the hearing, the PRB Case Officer will outline the reasons for the investigation, after 

which the student under investigation will be allowed to make a statement. The PRB Case 

Officer will then present any evidence or witnesses deemed integral to the investigation. 

Following this, the student being investigated will be given an opportunity to present any 

additional witnesses or evidence relevant to the case. It is the student’s responsibility to 

select and coordinate the appearance of these additional witnesses or collect and present 

additional evidence. Both the student being investigated as well as members of the PRB 

will be allowed to examine the evidence and ask questions of any witnesses as directed by 

the Chair. At the 

end of the meeting, the student under investigation will be allowed to make a closing 

statement, after which the Chair will then close the hearing. 

• At the discretion of the PRB, a recess may be called at any time during the hearing. The 

recess may be brief for the members of the PRB to consult in closed session, or it may be to 

continue the hearing at a later date to allow for further investigation. 

• With the formal closure of the hearing by the Chair, the PRB will meet outside the presence 

of all parties and witnesses to discuss the investigation and make a final decision. 

• In order to find the student guilty of a breach in professionalism, a majority of the voting 

members of the PRB must cast votes in favor of such a finding. 

• At the investigation hearing, in order for there to be a finding of guilty, the case against the 

accused student must be proved by clear and convincing evidence. Clear and convincing 

evidence is defined as that evidence which convinces the PRB that the facts asserted are 

highly probably true, and that the probability they are true or exist is substantially greater 

then the probability that they are false or do not exist. 

• If the evidence suggests that a violation of professionalism has occurred, the PRB Chair 

will be responsible for composing a synopsis of the investigation proceedings and 

conclusions, and forwarding this document along with any recommended disciplinary 

actions to the AAC. The AAC will then determine final action on the case. The PRB Chair 

will also be responsible for informing the student of the Board’s final decision both 

verbally and in writing within 7 days after the final PRB proceedings. Both the PRB Chair 

and another member of the PRB will be present when the student is verbally informed of 

this decision. The PRB Chair is also responsible for advising all involved in the case that 

the PRB investigation proceedings are to be considered confidential. 


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• If the evidence of the investigation does not indicate a violation of professionalism has 

occurred, a summary of the investigation will be placed in confidence in the student’s PIRT 

file. No record or note of the incident will be submitted to the student’s permanent file in 

the Office of Academic Affairs. The PRB Chair will be responsible for informing the 

student of the PRB’s final decision both verbally and in writing within 7 days after the final 

PRB proceedings. Both the PRB Chair and another member of the PRB will be present 

when the student is verbally informed of this decision. The PRB Chair is also responsible 

for informing the witnesses and individuals involved that the case has been dismissed and 

that the PRB investigation proceedings are to be considered confidential. 


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Page 21

APPENDIX E: 

University of Connecticut School of Medicine 

Professionalism Incident Report 

Type of Report (circle one) PRAISE CONCERN 

Subject of Report (Student Name): Date of Report: 

Person Submitting Form Date/Time of Incident 

(include title and/or role): (time period if longitudinal observations): 

Action Requested (circle one) For File Only Referral to Professional Incident Report Triage (PIRT) 

I. Statement summarizing the behavior being praised or raising concern: 

II. Describe in detail the incident(s) which prompted the completion of this form (attach additional 

pages if needed). 

III. Describe previous feedback and remediation which took place prior to the completion of this form 

(attach additional pages if needed) if applicable. 

IV. Summary of attempts to resolve this current issue and report of outcome, if any. 

[NOTE: The following to be completed by a Member of Professionalism Incident Report Committee] 

Student Subject of report: 

I have read this description and discussed it with the individual who filed the report, and/or a representative of the 

Professionalism Committee. 

Signature: ____________________________________ Date: ___________________ 

Student signature on this form is intended only to verify that the student has reviewed the form with the individual 

who filed the report, and/or a representative of the Professionalism Committee. 

Student Comments: 

Professionalism Incident Report Committee Member: 

I have reviewed this evaluation. 

Signature: ____________________________________ Date: ___________________ 

PIRT Member Comments: 


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Professionalism Categories 

[NOTE: examples of behaviors deserving of recognition in each category are not all inclusive] 

Professionalism Behavior deserving of special PRAISE: 

Integrity 

Student is honest and shows great integrity 

Student significantly enhances the learning environment 

Student shows superb ability to resolve conflict, respecting the dignity of all those involved 

Respect 

Student shows exceeding respect for peers and colleagues 

Student shows exceptional cultural sensitivity to race, gender, religion, sexual orientation, age, disability or socioeconomic status 

Altruism 

Student shows great empathy 

Student has outstanding rapport with patients and/or families 

Duty/Responsibility 

Student can be relied upon to complete tasks and consistently does significantly more then expected 

Student function as an invaluable team member 

Student demonstrates exemplary commitment to honoring patient’s or family’s wishes 

Excellence 

Student seeks and incorporates constructive comments and criticism 

Student recognizes difficulties and effects self-improvement 

Student recognizes and accepts responsibility for errors or mistakes and makes great effort to rectify 

Student creates an excellent learning environment 

Student excels in communication either in writing (notes, e-mails, etc.) or verbally 

Professionalism Incident warranting CONCERN: 

Integrity 

Student misrepresents or falsifies information 

Student is abusive, angry, or critical at times of stress 

Student uses his/her position to engage in inappropriate relationships with patients, families, or staff, and does not establish appropriate 

boundaries 

Student is dishonest 

Student does not contribute to a good learning climate 

Student is unable to resolve conflict, respecting the dignity of all those involved 

Student does not use professional language or uses inappropriate language 

Patient does not maintain patient confidentiality 

Patient does not present in a professional manner by dress or demeanor 

Respect 

Student lacks respect for peers or colleagues 

Student is insensitive to individual or family needs 

Student does not relate well to staff or teachers in the learning environment 

Student shows insensitivity to race, gender, religion, sexual orientation, age, disability, or socioeconomic status 

Altruism 

Student is arrogant 

Student lacks empathy 

Duty/Responsibility 

Student does not complete tasks in a timely manner 

Student needs constant reminders in order to fulfill responsibilities to patients and to school 

Student cannot be relied upon to complete tasks 

Student does not accept responsibility for errors or mistakes 

Student has inadequate rapport with patients and/or families 

Student demonstrates inadequate commitment to honoring patient’s or family’s wishes 

Student does not function as a valuable team member 

Excellence 

Student resists constructive comments or criticism 

Student remains unaware of indadeqacies or difficulties 

Student resists change 


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Appendix F: 

University of Connecticut and University of Connecticut Health Center Codes and Policies 

University of Connecticut Code of Conduct 

http://www.audit.uconn.edu/doc/codeofconduct.pdf 

UCHC Rules of Conduct 

http://www.policies.uchc.edu/policies/policy_2002_03.pdf 

Honor Code 

http://medicine.uchc.edu/current/honorcode/index.html 

Affirmative Action Policy Statement 


Conflicts of Interest in Research 

http://compliance.uconn.edu/conflict.cfm 

Drug Free Workplace and Alcohol Abuse Policy 


FERPA (Family Education Rights and Privacy Act) 

http://web2.uconn.edu/ferpa/ 

Review of Alleged Misconduct of Research Policy and Procedures 


Sexual Harassment Prohibition Statement 


Common Space Use Policy 


Workplace Violence Task Force 


Occupational Exposure to Bloodborne Pathogens 

http://www.ehs.uconn.edu/Biological/ExCnPl.pdf 


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Committee on Undergraduate Medical Education (CUME) 

Minutes of the Meeting 

January 10, 2013 

Chair: Rose, S. 

Present (voting): Dodge, J.; Gray, M.; Guerrera, M.; Hand, A.; Henry, D.; Makoul, G.; Palma-‐Sisto, P.; Rajan, T.; Regan, T.; Siegel, G.; Steele, C.; Watras, J.; 

Present (nonvoting): Harrison, J.; Henderson, D.; Nestler, E. Thatcher, C.; 

Guest: Ms. Barbara Ricketts 

Meeting called to order at 4:39 

Minutes of the meeting Reviewed. Minutes approved unanimously. 

Grades and Transcripts (S. Rose) Dr. Rose explained that our process for grades and transcripts is currently not 

in compliance with regulations for grades and transcripts. Dr. Rose noted the 

following: 

• Details on what the grades would look like on a transcript 

• These policies would only apply to the incoming class and future 

classes 

• The main differences are: 

• I will no longer indicate a fail and can only be used for an incomplete 

due to illness, emergency or approved (via Student Affairs) 

circumstance 

• All courses and clerkships will have to determine if not meeting a 

requirement of a course indicates a “C” or an “F” 

• The C or F will be immortalized on the transcript with either a CP or CF 

if completed in that academic year and if not, will remain permanently 

• Withdrawals will be defined on the transcript as WF: Withdraw while 

failing, WP: Withdraw while passing or WC: Withdraw with some 

academic difficulty but the possibility of passing. 

CUME Discussion: 

• Reverse the last sentence in the document 

• Concern that the document is missing a sentence regarding major life 

events 

Motion was made to approve the 

document with the changes. 

Unanimously approved. 

Suggestion for Ms. Ricketts to go 

back to the CUME and show how 

the new transcript looks. 

This will be presented to 

Education Council. 


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Professionalism Task Force Updates 

(T. Regan) 

• Suggestion that instead of bottom percentage of class, make it within 

the percentage of the pass rate for the class – suggestion to remove it 

entirely or else put the terminology: “Marginal Grades are 

identified…” 

• Passing assessments 

• Clarify so that it is not student affairs making the grade – “The grade 

should be initiated by the Course Director with the consent of Student 

Affairs.” 

• Discussion as to the relationship and communication between Student 

Affairs and the Course Director 

• Add: “GRADE OF INCOMPLETE CAN ONLY BE GIVEN WITH THE 

MUTUAL CONSENT OF STUDENT AFFAIRS AND THE COURSE DIRECTOR 

AND IS RESERVED FOR SERIOUS EMERGENCIES, ILLNESS OR SPECIAL 

CIRCUMSTANCES AS APPROVED.” 

• Change page 4 to final exam instead of shelf exam 

• Registrar commented that this will assist students by defining the rules 

The proposed policy includes the revisions requested by the CUME at the last 

meeting. Dr. Regan noted: 

• Changes included implementing a procedures for meeting with 

students immediately and providing an explanation of the process 

• Professionalism Review Board (PRB) details 

• Details on how the student elections to the PRB will be held 

• Small change needed to the number of voting members for accuracy 

(5 voting members total) 

• Clarification on voting members, alternate voting members with 

students – suggestion for chair’s prerogative 

• Discussion on the expansion of this group to include residents and 

fellows – mechanisms are in place by nature of the PRB 

• Voting/nonvoting status is not fixed so that the group can be 

expanded if needed 

• Comment that residents/fellows have their own mechanism 

• Suggestion to lose the flexibility because there is no real need to 

Motion made to approve the 

policy as written. Seconded and 

approved unanimously. Policy will 

be moved on to Education 

Council. 


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Meeting adjourned at 5:29pm 

expand the group 

• Suggestion to leave it as it stands because reconciling these issues may 

not be possible 

• Comments that an odd number of voting individuals is important but 

some discussion that may not matter as a voting member could 

abstain 

• Suggestion to give special voting privileges to one member of the 

committee in case the number is not odd for voting – comments that 

if voting is split so clearly than the topic needs more discussion and 

then be voted on again or perhaps weighing on the side of the student 

• Question as to how CHIPS relates to the triage committee and/or the 

PRB – noted that a complaint can be investigated and then referred to 

CHIPS but that CHIPS will not refer to the professionalism committee 

• Successful completion of mandated CHIPS visit goes into a student’s 

file until he/she completes the CHIPS program 

• DUI arrest: Any student who is in violation of state or federal laws, 

must report to the AAC 

• Comments that each case is handled individually 


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