The University of Connecticut School of Social Work primarily prepares doctoral students for careers as social work scholar/researchers, educators, and leaders. Central to this mission is the creation of a culture of excellence and support and opportunities for students to be mentored in their roles as educators, empirical and theoretical scholars and organizational leaders.

In addition to participation in courses and seminars, students have opportunities to increase their knowledge and skills through individualized collaboration with a faculty member(s). The collaboration may be with the student’s major advisor, or with other faculty who may provide opportunities for students in ongoing empirical and theoretical scholarly projects. Such opportunities may include but are not limited to literature reviews, development of conceptual frameworks, interviewing, data gathering, data entry, and statistical analysis. These opportunities augment coursework, familiarize students with professional standards of scholarship, and may provide the possibility of solo or jointly authored publications. These policies and procedures share the fundamentals of University of Connecticut Graduate Advising Policies and specifically pertain to those scholarly activities which do not earn academic credit. These policies and procedures pertain as well to DMHAS faculty who may work with students in other than Graduate Assistantship arrangements. Long term data sharing will be managed in accordance with University IRB policies and procedures.

In keeping with the values and standards of the profession and the University, certain guidelines must be followed in order to ensure equity and fairness in support of the graduate student’s role as a student. For example, participation by any student on a faculty project is voluntary and the student’s contribution to any forthcoming publications should be acknowledged through authorship¹ (see CSWE guidelines for ethical research² and APA guidelines for authorship). Any relevant authorship arrangements should be clear and explicit when the student and faculty member negotiate the student contribution at the outset of the project.

In the case of human subjects research, University of Connecticut Office of Research Integrity & Compliance (RIC) and all policies and procedures must be followed. For example, the faculty member, as Principal Investigator, must file the IRB paperwork to add personnel to the study and the student must be CITI certified. In addition, the faculty member should complete a “PhD Student/Faculty Collaboration Form” which both student and faculty member will keep on file. This form includes a brief description of the project, expected timeline, tasks assigned to the student, and any remuneration or authorship considerations. Prior to the commencement of the collaboration between faculty and student, the Doctoral Program Director is advised of the arrangement. These collaborations will be added to a list on the PhD program website, highlighting the types of scholarship and mentorship opportunities available to doctoral students.

In addition to the guidelines above, certain situations may arise that create potential ambiguities or ethical questions. The following scenarios provide examples of ways in which students and faculty members may collaborate, as well as any special circumstances and precautions necessary for the ethical protection of students.

Faculty Member as Paid Consultant

In these instances, faculty members are paid a consultation fee by an outside entity. To avoid the position of a faculty member being financially compensated, in part, on the basis of a student’s work, the faculty member should provide a stipend to the student. It is preferable that this stipend be made by the consulting agency directly to the student.

If this is not possible and the faculty member is hiring the student directly in a non-University (consulting) activity, the faculty member “must disclose the intent to do so in writing, prior to employing the student. This disclosure should be made in writing to the Department Head/Dean or the appropriate University official.” In these cases, the faculty member will deposit funds in an account specified and managed by the Office of Finance and Administration, for the sole purpose of paying a doctoral student for the agreed upon scholarly activity. Payment should be in accordance with prevailing student labor rates as designated by the University.

All consultant work should conform to the University of Connecticut Faculty Consulting Policies & Procedures. Please note per the Center for International Students & Scholars, international students cannot work in either paid or non-paid capacities on consulting arrangements.

Faculty Member on Externally and Internally Funded Grants

If a grant has funding for student labor, these funds should be used, in accordance with university policy to compensate doctoral student workers at the prevailing student labor rate, per the Office of Finance and Administration. If these funds are unavailable from the grant and the student is eligible for work-study monies, the faculty member should work with the Office of Finance and Administration to employ the student.

Unfunded Scholarship and Research

In these instances, the faculty member does not receive any compensation for the project beyond their usual salary as a faculty member and the scholarship is considered part of their faculty workload. In these instances, students who are interested in gaining skills, knowledge and/or experience in the area of study may participate in the faculty project. It should be made clear from the outset that funds are unavailable for compensation for the student’s involvement. The faculty member and student should keep on file a record of the “PhD Student/Faculty Collaboration Form.”

In those instances, in which a faculty member does not receive any compensation for the project beyond his/her usual salary as a faculty member (via consulting work or grant activity) students who are eligible can use their work-study monies toward work on a faculty project.

Grievance Procedures

The policies and procedures, including the “PhD Student/Faculty Collaboration Form,” are designed to protect doctoral student rights. In the event that a disagreement ensues, the complainant is encouraged to address this directly with the other party. The complainant can also bring this to the Director of the Doctoral Program and the Doctoral Committee. Additionally, there is the University of Connecticut Graduate School Appeal and Hearing Procedures.

1 Publication of research findings should include appropriate attribution of authorship. Authors and co-authors should be determined on the basis of the type and amount of work completed. There can be controversy over who should be included as an author, especially since being identified as an author or first author on a publication can have implications for tenure, funding, and other professional opportunities; beginning discussions of authorship earlier in the research process can reduce confusion. Many universities, departments, peer-reviewed journals, and professional organizations have specific policies outlining the criteria for who qualifies as an “author” for a publication (Eisner, Vasgird, & Hyman-Browne, n.d.).

2 “Senior researchers and mentors have a special responsibility to act ethically toward junior researchers and trainees by avoiding implicit and explicit exploitation. Mentoring relationships are complex; collaborative agreements that are developed early in the working relationship and that clearly delineate the rights and responsibilities of all parties can be very helpful in ensuring fair and just outcomes.” (CSWE, 2006)