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  Cornell University

The University Faculty

Office of the Dean

Other Schools (Q10)

Cornell

In unusual circumstances the supervising dean of the person in a position of authority may grant an exemption from this policy when full severance of the university relationship would create undue academic or financial hardship for the student.

Duke

If nevertheless a consensual relationship exists or develops between a faculty member and a student involving any situation of authority, that situation of authority must be terminated. Termination includes, but is not limited to, the student withdrawing from a course taught by the faculty member; transfer of the student to another course or section, or assumption of the position of authority by a qualified alternative faculty member or teaching assistant; the student selecting or being assigned to another academic advisor and/or thesis or dissertation advisor; and changing the supervision of the student’s teaching or research assistantship. In order for these changes to be made and ratified appropriately, the faculty must disclose the consensual relationship to his or her superior, normally the chair, division head, or dean, and reach an agreement for remediation. In case of failure to reach agreement, the supervisor shall terminate the situation of authority.

Case Western Reserve

1. Responsibility

1.1 The Office of the Dean will have responsibility for management of this policy.

1.2 An associate dean reporting directly to the dean will have responsibility as part of his or her regular duties.

1.2.1 The designated associate dean will meet with all department chairs in which there is a relationship reported (see 3 below) that would fall under the Consensual Relationships Policy.
1.2.2 The designated associate dean will work with the department chair to formulate an acceptable management strategy (see 4 below) and will monitor that management strategy at yearly intervals or more often if appropriate.
1.2.3 The designated associate dean will provide a written report to the dean at the end of every fiscal year (June 30).

1.3 All department chairs in which there is a relationship falling under the Consensual Relationship Policy will submit a written plan for compliance following their meeting with the associate dean and a written report one month prior to the end ofthe fiscal year (May 30).

2. Dissemination of Consensual Relationships Policy

2.1 The Office of the Dean will post a link to the Consensual Relationships Policy on its website.
2.2 The Office of the Dean will include the Consensual Relationships Policy as an agenda item in the first meeting of the Arts and Sciences Chair Council each academic year.
2.3 The Office of the Dean will distribute a copy of and include discussion of the Consensual Relationships Policy at its new faculty orientation.

3. Identification of Consensual Relationships

3.1 At the time of dissemination of the Consensual Relationships Policy each academic year (see 2.1 above), the Office of the Dean will instruct all faculty, staff, and students that any relationship falling within the parameters of this policy must be reported to all department chairs involved. (That is, if a relationship crosses two departments, it must be reported to both chairs.)
3.2 If a relationship involves a department chair, the relationship must be reported to the Office of the Dean along with other such relationships.

4. Management of Consensual Relationships Policy

4.1 In those situations in which one member of a consensual relationship has administrative, budgetary, or supervisory responsibility over the other, the member of the consensual relationship with these responsibilities:

4.1.1 will work with his or her department chair and the designated associate dean to formulate a plan for management of these responsibilities in compliance with the Consensual Relationships Policy;
4.1.2 will submit a written report confirming adherence with the plan and compliance with the Consensual Relationships Policy to the department chair to be transmitted to the Office of the Dean on an annual basis, one month prior to the end of the fiscal year (May 30).
4.1.3 In the event that the member of the consensual relationship is a department chair, the above activities will occur directly with the designated associate dean
4.1.4 The dean will review the management plan and, if acceptable, willforward it to the Provost’s Office and to Human Resources or their designated representatives for approval.

4.2 Materials to be included for review by the Office of the Dean to assure that one member of the consensual relationship is notreceiving preferential treatment, or is not being disadvantaged as a result of the relationship may include, but not be limited to (depending on the situation):

• work assignments (e.g., course assignments and teaching loads, lab assignments)
• committee assignments and administrative responsibilities

• allocations of non-salary resources including:

— travel funds
— computer funds and equipment
— supplies
— other departmental non-salary resources (e.g., funds for lecture series)
— laboratory space

• allocation of department-based student assistants, both undergraduate and graduate
• allocation of department assistant time and support

4.3 If the consensual relationship involves faculty members, one member must excuse himself or herself from any and all hiring, promotion, and tenure discussions and considerations for the other member of the relationship.

4.3.1 If there is insufficient faculty size in a department to constitute a required review committee in such a case, the Office of the Dean will appoint a special committee consistent with college by-laws.

4.4 One member of a consensual relationship may not complete evaluations for the other member of the relationship.

4.4.1 Evaluations will be completed by the next person up in the supervisory chain or an appropriate designee of the next person up in the supervisory chain.

4.5 One member of a consensual relationship may not have responsibility for investigation, determination or mediation in a student complaint process concerning the other member of the relationship.

4.5.1 Investigation, determination or mediation will be completed by the next person up in the supervisory chain or an appropriate designee of the next person up in the supervisory chain

5. Compliance with Consensual Relationships Policy

5.1 Lack of compliance with any part of this process will be reported to the responsible bodies indicated in the Consensual Relationships Policy.

University of Southern California

5.3 Management

5.3.1 All Personal Conflicts of Interest are not permitted unless managed consistent with Section 5.3.2. In addition, a Covered Employee and Close Relation should not have a direct reporting or evaluation relationship. Direct reporting relationships are deemed unacceptable absent written approval from the Provost or Provost designee if the Covered Employee is a faculty member or the Senior Vice President for Administration or designee if the Covered Employee is a staff member.

5.3.2 Personal Conflicts of Interest require that:

  • The initial salary of the Close Relation be determined through reference to a market survey performed by the Compensation Office, or (for faculty) an analysis of comparable USC salaries performed by the Vice Provost for Academic and Faculty Affairs;
  • Performance evaluations and any associated merit-based pay increase, or academic decision, be made or reviewed by an independent committee or a designee of the Provost (for faculty) or applicable senior vice president (for staff).
  • Individuals with complaints or concerns about the proposed reporting relationship have a formal procedure to raise issues, which includes having concerns raised directly with Human Resources Administration or the Vice Provost for Academic and Faculty Affairs.
  • The Covered Employee submits reports at least annually regarding continued compliance with the approved management plan. If the Covered Employee is a faculty member, the reports should be submitted to the dean and Provost designee. If the Covered Employee is a staff member, the reports should be submitted to the manager and the Senior Vice President for Administration designee. Approval of the conflict can be revoked at any time at the discretion of the Provost or Senior Vice President for Administration or their designees.

University of Illinois

It is the obligation of staff members to call attention to situations in which they could be in violation of this policy and to remove themselves from initiating or participating in any institutional decisions involving a direct benefit to an individual covered by this policy. It is the responsibility of each Unit Executive Officer (UEO) to review all situations involving the conflicts of interests in supervisory relationships to assure compliance with this policy and to resolve any conflicts. This responsibility includes addressing both potential and actual conflicts that are identified by employee self-report or by other means.

In cases where a conflict is identified, the UEO must develop a Supervisory Relationship Management Plan that redirects decision-making and bypasses involved parties. Such procedures must be agreed to in writing and approved through all administrative levels. For changes in existing positions that might create a supervisory relationship in the same unit, review and approval is also required.

University of Michigan

 

  • A written plan to resolve the conflict of interest should be developed by the faculty member, the academic administrator (in most cases, the department chair), and the head of the academic unit (e.g., dean, director, or equivalent). In most cases, the gist of the plan will be to remove the faculty member’s responsibility for supervising the student and to make alternative arrangements. The plan must address the need to preserve and maintain the student’s immediate and long-term educational opportunities, ability to meet program requirements, and career progression. For these reasons, the student must find the plan to be acceptable.At any time, the student, the faculty member, the academic administrator, and/or the head of the academic unit may consult with the appropriate Human Resources office. Final approval of the plan is the responsibility of the head of the academic unit (e.g., the dean, director, or equivalent).Determination of Plan Acceptability: Making alternative arrangements for the faculty member’s supervisory responsibility may have a negative impact on other students, other faculty members, administrators, and the University. Therefore, the academic administrator and the head of the academic unit (e.g., the dean, director, or equivalent) have the authority to decide that no acceptable resolution to the conflict can be found.When a Conflict Resolution Plan Is Not Agreed Upon: If it is not possible for all the relevant parties to agree on a plan to resolve the conflict of interest, the romantic and/or sexual relationship must be discontinued until the faculty member no longer has supervisory responsibility for the student (also see Section IV. Sanctions).Record Keeping: A written record of the approved conflict resolution plan must be placed in the faculty member’s personnel file in his or her home administrative unit (also see Section III.F. Confidentiality).
  • Role of the Academic Administrator:

    An academic administrator who learns that a faculty member has supervisory responsibility for a student with whom the faculty member is having or has had a romantic and/or sexual relationship is obligated to attempt to develop a plan to resolve the conflict of interest. If an academic administrator learns of a potential conflict of interest from another source (e.g., student or third party), he or she must determine whether a conflict of interest exists and, if so, is obligated to attempt to develop a plan to resolve the conflict of interest.

Michigan State

In unusual circumstances, the achievement of the affected student’s academic requirements may necessitate continued oversight of the affected student by the faculty member, graduate teaching assistant or other University employee who has engaged in amorous or sexual relations with that student. In such circumstances the unit administrator shall, therefore, have authority, after consulting the affected student, to permit the continued oversight of the affected student by the faculty member, graduate teaching assistant or other University employee, provided that the faculty member, graduate teaching assistant or other University employee shall not grade or otherwise evaluate, or participate in the grading or other evaluation of, the work of the affected student, and that the alternative arrangements for grading or evaluating the affected student’s work treat the student comparably to other students.

University of Iowa

    1. the Provost. Such discipline may involve III-29 Faculty Dispute Procedures and the portion of the procedures dealing with faculty ethics (III-29.7).
    2. In those cases where the instructor is a staff member, discipline shall be imposed only after consultation with the respective Senior HR Leadership Representative. Such discipline may relate to III-16 Ethics and Responsibilities for University Staff and utilize the applicable  grievance procedures, including III-28 Conflict Management Resources for University Staff.
    3. In those cases where the instructor is a graduate assistant, discipline related to their employment shall be imposed by the dean of the employing college and only after consultation with the Office of the Dean of the Graduate College. Discipline related to student status shall be imposed by the Office of the Dean of Students, after consultation with the Office of the Dean of the Graduate College.
  • A statement of the determination of a policy application, a copy of the plan, and a proposal for dissemination is directed to the appropriate office designated below:
    1. In those cases where the instructor is a faculty member, the plan is forwarded to the DEO, dean, and Office of the Provost.
    2. In those cases where the instructor is a staff member, the plan is forwarded to the Senior Human Resources Leadership Representative and University Human Resources.
    3. In those cases where the instructor is a graduate assistant, the plan is forwarded to the dean of the employing college, the Graduate College, the Office of the Dean of Students, and the Office of the Vice President for Student Life.
  • Upon approval, a copy of the plan is directed to the instructor.
  • The person responsible for development of the plan reviews it annually and reports to the respective office as designated above.
  • The instructor may take any of the following actions:
    1. comply with the plan, in which case the matter is resolved; or
    2. challenge the determination that a policy violation occurred or any discipline imposed by:
      1. accessing III-29 Faculty Dispute Procedures and the portion of the procedures dealing with faculty ethics (III-29.7), when the instructor is a faculty member.
      2. accessing applicable University policies, including III-16 Ethics and Responsibilities for University Staff, and the applicable grievance procedures, including  III-28 Conflict Management Resources for University Staff, when the instructor is a staff member.
      3. accessing the portion of the procedures dealing with graduate assistant employment (III-12.4) for employment related discipline, and the applicable procedures in the Code of Student Life for discipline related to student status, when the instructor is a graduate assistant.
  • The recipient notifies the complainant that a management plan is in place or that no policy violation occurred.

University of Minnesota

The Office of Equal Opportunity and Affirmative Action may grant exceptions to this policy when eliminating the prohibited activities would unreasonably disadvantage one or both of the University members in the personal relationship. If the exception is granted, a written agreement will be developed so that employment and academic decisions are made impartially. A written agreement will also be created if a relationship has a negative impact on the work environment, even if the relationship does not have a direct influence on employment or academic progress.

Ohio State University

Acceptable alternative arrangements can be made by working with one’s supervisor, chair/director, or dean/vice president.
The arrangements must alleviate any actual or perceived conflicts of interest or potential conflicts of interest. The arrangements may include altering supervisory or reporting lines; moving a student to another section of the same class; having them teacher with another teacher; appointing a different individual to serve a thesis, dissertation, program, or evaluative committee; moving the individual to another position of the same or comparable status and duties; or establishing alternative means of evaluation of academic or work performance; among other options. Having acceptable alternative arrangements made is not an entitlement and if the department determines they are  not feasible, the relationship must cease. Other academic alternatives might be: Delay the relationship until after the student has completed your class.
Identify a comparable class taught in another department (e.g. a research methods course taught in the College of Food, Agricultural and Environmental Sciences that is comparable to one taught in the College of Education and Human Ecology) and allow the student to apply for permission to substitute the course. Arrange an independent study with another qualified professor or practitioner, from Ohio State, the immediate community, or another university. A rrange for the individual to be graded and guided by an equally qualified colleague at another university. Be creative–the bottom line is that the conflict of interest must be removed by whatever reasonable  means can be identified, without denying or degrading the student’s experience. Although we encourage departments to be supportive inmaking alternative acceptable arrangements, they are not required to invest additional resources to do so . Such arrangements are not an entitlement. If acceptable alternative arrangements cannot be made, the relationship must cease.

University of North Carolina

Because of the sensitive nature of such relationships, every reasonable effort should be made to resolve alleged Policy violations on an informal basis if possible. Concerns about problems related to this Policy may be taken to the administrative official most directly involved, excluding the person alleged to have violated this Policy, or to one of the individuals listed below in Section VI.

Any remedial actions taken by the administrative official most directly concerned, excluding the person alleged to have violated this Policy, will depend on the totality of the circumstances.

Efforts should be made to be constructively educational for concerned parties and to be corrective rather than punitive if a Policy violation is found: an acknowledgment of the violation and a commitment not to violate the Policy in the future, along with a warning or other appropriate action directed toward the faculty or staff member, may be sufficient resolution. In cases where further action is deemed appropriate, sanctions may range from a letter of reprimand to dismissal, all in accordance with applicable University procedures.

University of Arizona

If a romantic, sexual, or other personal relationship develops between employees in supervisory and subordinate roles, or if an employee determines that a student with whom s/he has had at any time a romantic, sexual, or other relationship that has created or could create a conflict of interest is enrolled in that employee’s class or must be supervised or evaluated by such employee, or if a personal relationship between an employee and another employee or a student exists such that a conflict of interest or potential conflict of interest exists, the supervisory employee shall disclose the relationship to his/her immediate supervisor. The supervisory employee also must submit a written plan to his/her immediate supervisor to eliminate any conflicts of interest or potential conflicts of interest to the immediate supervisor’s satisfaction. If the immediate supervisor deems the plan unsatisfactory, then the supervisory employee may submit the plan to the next administrative level for review and acceptance or rejection. The plan may include altering supervisory or reporting lines; moving a student to another section of the same class; appointing a different individual to serve on a thesis, dissertation, or evaluative committee; moving a supervisor or other individual to another position of the same or comparable status and duties; or establishing alternative means of evaluation of academic or work performance.

Supervisors to whom conflict elimination plans have been submitted shall review any plan and work with the employee(s) and/or student(s) to develop a plan that will eliminate the conflict and shall assist in implementing the plan. Prior to implementation of any conflict elimination plan under this policy, the immediate supervisor must approve the plan and ensure that it is consistent with proper functioning and management of the unit and the University.

In cases in which an employee and his/her supervisor become involved in a romantic, sexual, or other relationship that results in a conflict of interest under this policy, and where a conflict elimination plan is not or cannot be developed, either employee or both employees may be subject to termination. If a termination occurs under this paragraph, it shall not be recorded as a disciplinary discharge.

Last Updated: October 19, 2017 at 10:10 pm