Labor Relations

Fitness for Duty Policy

Posted on August 21, 2024February 17, 2026 by Quiles, Anida

Title:	Fitness for Duty Policy
Policy Owner:	Human Resources
Applies to:	Employees
Campus Applicability:	Storrs and Regional Campuses
Approval Date:	August 20, 2024
Effective Date:	August 21, 2024
For More Information, Contact:	Human Resources
Contact Information:	(860) 486-3034 or hr@uconn.edu
Official Website:	https://hr.uconn.edu/

BACKGROUND

The University is committed to providing a workplace that is conducive to a safe and healthy environment, supportive of our educational mission. Employees must be able to perform their job duties in a safe, productive, and effective manner. Employees who are not Fit for Duty may present a safety risk for themselves or others.

PURPOSE

To ensure the health and safety of individuals in the University community and others with whom they have contact.

DEFINITIONS

Fit for Duty: An employee is physically, mentally, and emotionally capable of performing their job responsibilities effectively and safely.

Fit for Duty Evaluation: A professional assessment of an employee’s physical, mental, and/or emotional capacities carried out by a licensed Health Care Evaluator to determine whether the employee is physically, mentally, and emotionally capable of performing their duties. This may include a “functional capacity evaluation” (FCE), which is a set of tests, practices, and/or observations that are combined to determine the employee’s ability to safely perform the physical and other demands of their specific job.

Health Care Evaluator: An independent, licensed, health care provider with appropriate expertise to conduct a Fitness for Duty Evaluation.

POLICY STATEMENT

The University may conduct a Fit for Duty Evaluation with an independent, licensed Health Care Evaluator, where such an exam is job-related and consistent with business needs. This includes, but is not limited to, situations where an employee:

has observable difficulty performing their duties safely, which may include situations in which the employee appears to be impaired by drugs, alcohol, or other substances;
is returning from an intermittent or block medical leave, where there is a reasonable basis to verify the necessity of the leave or of the ability of the employee to return;
has observable difficulty performing the essential functions of their position; and/or
poses an imminent or serious safety threat to self or others.

This policy is not a substitute for the University’s policies and protocols regarding sick or medical leave requests, workers’ compensation claims, or reasonable accommodations and may be in addition to benefits processing, as legally and/or contractually permitted. It also is not a substitute for other University policies or procedures related to discipline, performance management, or prevention of violence in the workplace; nor is it a substitute for any requirements or regulations under the Connecticut Police Officer Standards and Training Council or Conn. Gen. Stat. § 7-291e, as may be amended from time to time, or other licensing boards.

Employee and Supervisor Responsibilities:

Employees:

Must come to work Fit for Duty and must perform their job responsibilities throughout their workday.
Must notify their supervisor as soon as possible if they feel they cannot safely perform their job. Employees are not required to disclose health-related information to their supervisor.
Should notify their supervisor as soon as possible when they observe a co-worker acting in a manner that suggests the co-worker may be impaired or otherwise not Fit for Duty. If the supervisor is the individual of concern, the employee may inform the next level supervisor or contact Labor Relations at (860) 486-5684 or laborrelations@uconn.edu.
Must provide relevant information or releases for medical records reasonably requested by the Health Care Evaluator conducting the Fit for Duty Evaluation.
Must comply with authorized requests to submit to a Fit for Duty Evaluation. Non-compliance may constitute insubordination and result in disciplinary action, up to and including termination.

Supervisors:

Are responsible for observing the attendance, performance, and behavior of employees under their supervision.
Must follow this policy when presented with circumstances or knowledge indicating an employee may be not Fit for Duty.
Must contact Employee Relations if they have a reasonable belief that an employee is unable to perform their job and may need a Fit for Duty Evaluation.
Should contact the UConn Police Department first if there is an immediate safety concern or threat and thereafter make a referral to the Employees of Concern (“EOC”) Team. When there is not an immediate safety concern, the employee may nonetheless present a threat to themselves or others, make a referral to EOC.

Fit for Duty Evaluation:

The Fit for Duty Evaluation will be conducted to determine whether the employee is physically, mentally, and emotionally capable of performing their job responsibilities effectively and safely. The Fit for Duty Evaluation is not for diagnosis or treatment.
The examination may include medical testing, psychological testing, physical examination, or an FCE that may involve performance of actual physical tasks and duties.
When the University requires a Fit for Duty Evaluation pursuant to this policy, the University shall select the Health Care Evaluator and bear the cost of the examination.
Results from the University’s selected Health Care Evaluator shall be presumed valid. In case of significant disagreement or contradiction by the employee’s physician, the University may request another opinion, for which it will bear the cost.

Return to Work:

The Health Care Evaluator will provide the appropriate University officials, including but not limited to Human Resources and Employee Relations, with a written report detailing the nature and extent of the employee’s functional limitations or restrictions concerning the employee’s ability to effectively safely perform the essential functions of their job, if any, and the expected duration of any such limitations.
The Health Care Evaluator will make the final determination of an employee’s fitness for duty status based on their assessment of the employee and review of the essential functions of the employee’s position, based on their University job description and duties.
The University must receive a written return to work/fitness for duty form from the Health Care Evaluator before the employee may return to work.
Where applicable, Human Resources shall be consulted to facilitate the reasonable accommodation process. Nothing contained in this policy is intended to create a right to light duty work.
If an employee is deemed unfit for duty, their employment status will be determined on a case-by-case basis in accordance with federal and state law, University policy and procedures, and any applicable collective bargaining agreement or employment contracts.

Confidentiality:

Records of Fit for Duty Evaluations will be treated as confidential and will only be shared or used as permitted by law.
Information concerning an employee’s fitness for duty will be shared only with those who need to know for legitimate business purposes. Typically, information available to the employee’s work unit after the Fit for Duty Evaluation will be limited to whether the employee is fit to resume their job duties and whether the employee needs specific reasonable accommodations, as determined by Human Resources.

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.

RESOURCES

Employee Assistance Program (EAP)
EAP Phone: (860) 679-2877, CT toll-free: 800-852-4392
Web: https://hr.uconn.edu/employee-assistance-program/
Provides confidential assessment and referrals for employees seeking assistance in dealing with alcohol and substance misuse.

If there is no emergency or imminent threat, employee concerns should be reported to Human Resources via laborrelations@uconn.edu.

If there is an imminent threat or an emergency situation, the University of Connecticut Police Department (UCPD) should be contacted immediately by dialing 911.

POLICY HISTORY

Policy created: 08/20/2024 (Approved by Senior Policy Council and the President)

Separation Policy for Unclassified Board of Trustees Exempt Managers and Confidential Employees

Posted on July 24, 2013February 17, 2026 by

Title:	Separation Policy for Unclassified Board of Trustees Exempt Managers and Confidential Employees
Policy Owner:	Board of Trustees
Applies to:	June 26, 2013
Effective Date:	June 26, 2013
Campus Applicability:	All Campuses
For More Information, Contact	Human Resources, Labor Relations
Contact Information:	(860) 486-5684
Official Website:	https://hr.uconn.edu/employee-relations/

POLICY STATEMENT

This policy applies to the University of Connecticut at Storrs, all regional campuses including the Schools of Law and Social Work and the University of Connecticut Health Center. Managerial and Confidential employees of the University of Connecticut who do not have academic tenure are generally employed at-will and may be separated from employment for any lawful reason without advance notice. Management and Confidential employees who are involuntarily separated from the University of Connecticut for reasons unrelated to their job performance such as lay off, position elimination, or management reorganization may, at the sole and exclusive discretion of the University, be eligible for separation benefits in accordance with this policy. This policy does not apply to: (i) separation of an employee due to voluntary resignation or retirement; (ii) separation of an employee as the result of disciplinary action or for misconduct; or (iii) separation of an employee due to job performance.

SEPARATION BENEFITS

The separation benefits, if offered, will be in accordance with the guidelines provided below.

1. Release

In order to receive separation benefits, the employee must execute a separation agreement and general release in a form acceptable to the University. Typically, the University will require a non-disparagement provision.

2. Notice and/or Lump Sum Payment

At the discretion of the employer, the University may offer one of the following:

(a) written notice in advance of the effective date of separation, based on years of credited service at the University as shown below;

(b) lump sum payment of salary in lieu of notice according to years of credited service at the University as shown below;

(c) a combination of written notice and lump sum payment up to the maximum allowable limit, based on years of credited service at the University as shown below.

Less than	Years of Service 1 year	Notice Period or Lump Sum Payment –0–
Minimum	1 year	2 months
Minimum	2 years	3 months
Minimum	4 years	4 months
Minimum	6 years	5 months
Minimum	8 years	6 months

3. Health Insurance:

If the separating employee is receiving health insurance through the University, the University may extend the employee’s health insurance beyond the date of separation until the earlier of (a) up to six months (or such shorter time as the University specifies) or (b) when the separated employee becomes employed with an employer who offers health insurance.

Upon expiration of University-subsidized health insurance, the separated employee may elect to purchase additional health insurance continuation by paying the employee and employer share of the premium as provided by relevant state and/or federal law.

4. Outplacement Counseling

The University may choose, in its discretion, to offer job search assistance, career counseling or outplacement services.

EXCEPTIONS

Compensation or benefits in excess of this Policy may only be extended for good cause and only with the written approval of both the relevant Vice President or Vice Provost and the Director of Labor Relations.

POLICY HISTORY

Policy Created: 6-26-2013 (BOT Approved)

Smoking Policy

Posted on June 2, 2011December 1, 2025 by

Title:	Smoking Policy
Policy Owner:	Human Resources
Applies to:	Faculty, Staff, Students, Others
Campus Applicability:	All Campuses, except UConn Health
Approval Date:	October 25, 2023
Effective Date:	October 25, 2023
For More Information, Contact:	Human Resources
Contact Information:	(860) 486-3034 or hr@uconn.edu
Official Website:	http://hr.uconn.edu

PURPOSE

The University of Connecticut is committed to providing a safe and healthy working and learning environment that is free of tobacco products, environmental tobacco smoke, and other smoking-related by-products. In keeping with this commitment, and in compliance with Connecticut General Statutes §§ 31-40q(d) 19a-342 and 19a-342a, tobacco use and/or smoking of any kind, including e-cigarettes and vape pens is prohibited as set forth below.

APPLIES TO

All University employees, students, visitors, guests, and contractors are required to comply with this policy.

DEFINITIONS

Smoking[1]: For the purposes of this policy, “smoking” includes the use of cigarettes, cigars, pipes, electronic cigarettes (e-cigarettes), vape pens, and similar products.

POLICY STATEMENT

Smoking (including vaping) is prohibited:

In all University owned or leased buildings, facilities, and vehicles.
Within 25 feet of all campus buildings, including residence halls.

The University will post signage communicating these prohibitions within 10 feet of all building entries.

ENFORCEMENT

Individuals in management or supervisory roles are responsible for communicating the policy to their employees and enforcing the policy in their respective area(s). If an individual refuses to comply with this policy after being warned by the appropriate University officials, then actions should be taken as follows:

Student violations: Contact the Office of Community Standards

Phone: 860-486-8402
Email: community@uconn.edu

Employee violations: Contact Labor Relations

Phone: 860-486-5684
Email: laborrelations@uconn.edu

Contractor violations: Contact University Business Services at 860-486-2619

No person who reports a violation of this policy or who furnishes information concerning a violation of this policy shall be retaliated against in any manner.

POLICY HISTORY

Policy adopted: June 7, 2016
Revisions: October 16, 2023

[1] As a recipient of federal funding, the University is required to prohibit the use and/or possession of all federally controlled substances, including marijuana.

Academic Course Work Taken by Faculty or Non-Teaching Professionals

Posted on May 24, 2011February 17, 2026 by

Title:	Academic Course Work Taken by Faculty or Non-Teaching Professionals
Policy Owner:	Office of the Provost and Human Resources
Applies to:	Faculty, Staff
Campus Applicability:	Storrs and Regional Campuses
Effective Date:	September 25, 2014
For More Information, Contact	Human Resources, Labor Relations
Contact Information:	(860) 486-5684
Official Website:	https://hr.uconn.edu/employee-relations/

Background and reasons for the Policy:

To provide guidance to faculty and non-teaching professionals on the circumstances under which they may take a course for credit during the employee’s regular work hours.

Purpose of Policy:

To support the University’s need to ensure effective delivery of instructional and other services for which faculty and non-teaching professional staff are hired and to mitigate against conflicts of commitment.

Expected Institutional Outcome:

To support uninterrupted delivery of programs, instruction and services.

Applicability of Policy:

Faculty and Non-Teaching Professionals.

Policy Statement:

No member of the faculty or non-teaching professional staff may take for credit any academic work at this institution or elsewhere during the employee’s normal work time/days, without written approval of his or her Dean or Director. The Dean or Director may consult with Human Resources Labor Relations regarding flexible schedule options.

Responsibilities:

The Provost, Deans and Department Heads and other supervisors have a responsibility to support compliance with this policy by faculty and staff in their units.

Policy History

Supersedes version of policy effective 06/23/2008

Violence in the Workplace Prevention, Policy on

Posted on May 24, 2011October 7, 2026 by

Title:	Violence in the Workplace Prevention, Policy on
Policy Owner:	Human Resources
Applies to:	Workforce Members
Campus Applicability:	All UConn Campuses, excluding UConn Health
Approval Date:	October 6, 2026
Effective Date:	October 7, 2026
For More Information, Contact:	Labor Relations
Contact Information:	(860) 486-5684
Official Website:	https://hr.uconn.edu/labor-relations/

BACKGROUND

The safety and security of all employees is of primary importance to the University of Connecticut. On August 4, 1999, the Governor of the State of Connecticut issued an executive order establishing a zero-tolerance policy for workplace violence for all state agencies and public universities. The University of Connecticut is committed to providing a workplace that is conducive to a safe and healthy environment supportive of our educational mission.

PURPOSE

To communicate the meaning of “workplace violence”, define prohibited conduct, and establish potential consequences for violations. Additional resources are cited to provide direction on how to report incidents and offer sources of assistance and support to those impacted by workplace violence.

APPLIES TO

Applies to all University of Connecticut workforce members. This policy governs all University employees, persons who are permitted to work on University premises, at satellite locations or at University sponsored off-site events. This policy also governs persons operating state vehicles under the control of the University.

DEFINITIONS

Dangerous Instruments: Any instrument, article, or substance that, under the circumstances, is capable of causing death or serious physical injury.

Emergency Situation: A situation where an injury has occurred or there is an immediate threat of physical harm or injury.

Non-Emergency/Threatening Situation: A situation where one person, through intimidating words or gestures has induced fear and apprehension of physical or other harm in another person but there is no immediate danger of such harm being inflicted.

Threat: A communicated intent to inflict physical or other harm on another person. A threat can be communicated either verbally or by gesture, or a combination of the two.

Violent Acts: This refers to a range of inappropriate behaviors that include but are not limited to the following:

intimidating or threatening behaviors
physical or verbal abuse
vandalism
arson
sabotage
carrying or possessing weapons of any kind on property owned/leased or otherwise controlled or occupied by the state, unless properly authorized
using such weapons
any other act(s) which a reasonable person would consider as inappropriate and/or posing a danger or threat of danger/violence in the workplace
such behavior includes, but is not limited to oral, written or e-mail statements, gestures, or expressions that communicate a direct or indirect threat of physical harm
any comments regarding violent events and/or behaviors which a reasonable person would consider offensive, including but not limited to, comments that are insulting, inflammatory, derogatory, discriminatory, or that create a hostile work environment.

Weapon: Any firearm, including a BB gun, whether loaded or unloaded, any knife (excluding a small pen or pocket knife), including a switchblade or other knife having an automatic spring release device, a stiletto, any police baton or nightstick or any martial arts weapon or electronic defense weapon.

Workplace Violence: Violent acts, including physical assaults and threats of assault, directed toward persons at work or on duty.

POLICY STATEMENT

The University of Connecticut takes any act of violence seriously. The prevention of Workplace Violence is everyone’s responsibility. It is expected that University employees will maintain a workplace atmosphere of mutual respect and civility.

No person covered by this policy may:

Engage in conduct intended to threaten, intimidate or harass a University employee.
Possess a weapon or dangerous instrument while on any University worksite unless required to do so as a component of their job.
Use, attempt to use, or threaten to use a weapon or dangerous instrument.
Cause or threaten to cause death or physical injury to any individual while at a University worksite.

The University has the right to confiscate any weapon or dangerous instrument on University property. Employees have no reasonable expectation of privacy with respect to weapons or dangerous instruments in the workplace.

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

In the event of a Non-Emergency/Threatening Situation, employees should contact Human Resources as soon as possible, typically the same day as the incident.

In the event of an Emergency Situation, an employee should first take the necessary steps to ensure their own safety. Then, if possible to do so safely, an employee should call emergency responders (the police, ambulance services, and fire department) if necessary. As soon as it is safe to do so an employee should inform Human Resources of the incident or their supervisor, who should then contact Human Resources.

REFERENCES

Governor Rowland’s 1999 Executive Order: exc16pdf.pdf

State of Connecticut’s Violence in the Workplace Policy and Procedures Manual: The State of Connecticut

National Institute for Occupational Health and Safety: Workplace Violence Prevention Strategies and Research Needs: https://stacks.cdc.gov/view/cdc/11418

POLICY HISTORY

Policy created: 01/02/2004

Revisions:
04/02/2008
10/06/2026 (Approved by the University Senior Policy Council and President)

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)

Employment and Contracting for Service of Relatives, Policy on

Posted on May 24, 2011September 9, 2026 by Fearney, Kimberly

Title:	Employment and Contracting for Service of Relatives, Policy on
Policy Owner:	Office of University Compliance and Human Resources
Applies to:	Faculty, Staff, Students
Campus Applicability:	All UConn Campuses
Approval Date:	August 21, 2026
Effective Date:	August 31, 2026
For More Information, Contact:	Office of University Compliance and Human Resources, Labor Relations
Contact Information:	UConn Health: (860) 679-4180 or (860) 679-2426 UConn Storrs/Storrs Based Campuses: (860) 486-2530 or (860) 486-5684
Official Website:	https://compliance.uconn.edu/conflicts-of-interest/ or https://hr.uconn.edu/labor-relations/

BACKGROUND

The employment or contracting for service of Relatives in the same department or area of an organization may cause conflicts and serve as the basis for complaints concerning disparate treatment and favoritism as well as violations of the state’s Ethics statute.

PURPOSE

To protect against conflicts and complaints concerning disparate treatment and favoritism, and to provide for the ethical and legally consistent treatment of individuals with relatives seeking employment or who are employed by the University.

APPLIES TO

Faculty, staff, and students on all campuses

DEFINITIONS

Relative: Defined in this policy as a spouse, child, step-child, child’s spouse, parent, brother, sister, brother-in-law, sister-in-law, dependent relative or a relative domiciled in the employee’s household.

Direct Supervisor: An employee’s immediate manager or supervisor.

Indirect Supervisor: Any person above an employee’s direct supervisor in the employee’s reporting chain.

POLICY STATEMENT

No employee of the University of Connecticut may be the direct or Indirect Supervisor of or take any action which would affect the financial interests of one’s Relative. This may include, but not limited to, decisions regarding appointment, award of a contract, promotion, demotion, disciplinary action, discharge, assignment, transfer, approval of time-off, and approval of training or development opportunities, as well as conducting performance evaluations or participating in any other employment action, including serving on a search committee acting on a Relative’s application, or otherwise acting on behalf of a Relative except as noted under “Procedure” below. Further, no employee may use their position to influence an employment action of a non-Relative if such action would benefit one’s Relative.

Under no circumstances will the University approve the employment of dependent children or step-children as student employees under direct or indirect supervisory relationships.

ENFORCEMENT

PROCEDURES/FORMS

The University recognizes the potential for conflict of interest, claims of disparate treatment and/or discrimination in the employment of Relatives in the same department, work unit or in a direct or indirect supervisory relationship. The University further recognizes that there are infrequent but compelling circumstances under which such employment relationships may be in the best interests of the institution. Thus, to protect both the involved employee and the institution in those situations, the following procedure must be followed.

No employee may sign any document that would affect an employment action on behalf of a Relative.
An employee who is confronted with an employment decision or action involving a Relative must inform the immediate supervisor in advance, in writing, of the situation. The employee will describe the relationship and the proposed action requiring a decision by submitting the Conflict of Interest (COI) Disclosure Form.
The COI Disclosure Form is submitted through the supervisory chain and at a minimum must be approved by a dean/department head/director (DDD). If the employee’s direct supervisor is a DDD, then the COI Disclosure Form must be approved by the next appropriate senior manager. Using the COI Disclosure form, the employee’s direct supervisor shall propose to their senior manager an appropriate conflict resolution plan (CRP) to resolve the conflict. In general the CRP should address how the required decisions will be made to avoid any conflicts.
The senior manager shall determine if the proposed plan for the resolution of the conflict is within the best interest of the institution, and approve or modify the plan using the COI Disclosure form. The written resolution and implementation of the plan shall be communicated to the dean/director and through the supervisory chain to the employee(s) involved in the conflict of interest.
The COI is then routed through Human Resources for processing purposes and shall be reviewed with the Office of University Compliance for consultation on the appropriateness and effectiveness of the mitigation plan. Any additional recommendations will be made at the time of this review.
The supervisor, dean/director, or provost/vice president (the first level outside of the reporting process of each person in the conflict) shall oversee the implementation of CRP.
Should the conflict involve the provost or a vice president, then the actions/decision shall be directed to the president or designee.

REFERENCES

Conflict of Interest (COI) Disclosure Form

POLICY HISTORY

Policy created: 11/09/2010 (Approved by the Board of Trustees)

Revisions:
08/21/2026 (Approved by the University Senior Policy Council and President)