FA-5006 Formal Allegations of Student Mistreatment by Faculty

1.0      Purpose

Students may bring forth allegations of mistreatment by a faculty member in a formal manner, wherein the student self-identifies and wishes to formally allege a specific incident of mistreatment by a named faculty member. Such allegations would apply to conduct in a faculty member’s role as teacher, mentor, preceptor, supervisor, facilitator, researcher, and/or other faculty role. 

SEE ALSO:

• Faculty Affairs Policy on Standards of Ethical and Professional Conduct for Faculty (FA-5005)
• Faculty Affairs Policy on Title IX Harassment and Discrimination (FA-5011)

2.0      Policy

The faculty of VTCSOM is committed to supporting a learning environment that promotes the professional development and well-being of students. This environment must be free from student mistreatment and/or harassment. VTCSOM prohibits mistreatment and/or harassment in any academic or clinical setting on the basis of any characteristic protected by law.

Faculty and student behavior within the academic community, which includes the teacher-learner relationship and the professional community of patient care, are guided by the Standards of Ethical and Professional Conduct, the Attributes of Professionalism and the Teacher-Learner Compact (hereinafter referred to in the aggregate as “standards”). This procedure applies only to VTCSOM faculty; for the purposes of this procedure, the term “faculty” and/or “faculty member” will include resident or fellow physicians who are serving in a teaching/supervisory role. Allegations of mistreatment by other persons such as non-clinical faculty, non-faculty physicians, medical care personnel, staff or non-medical persons, or others are covered by other university policies.

3.0      Procedures

A student allegation of mistreatment by a faculty member may involve academic mistreatment (teaching, facilitation, assessment, grading); supervisory or mentor mistreatment; harassment (sexual, verbal, physical, ethnic); or any other conduct specified in the standards. Such mistreatment may occur at any site where the student encounters the faculty in a VTCSOM official capacity. The allegation should be identifiable as a breach of the conduct expected of a faculty member. Implementation of this procedure does not preclude additional action by the site where the mistreatment occurred, in accordance with procedures in effect at that site. Specifically, it may be possible for an allegation of mistreatment to simultaneously proceed through a VTCSOM process and a site-specific process. While any investigation may be coordinated, the process does not presuppose congruence of findings or of sanctions.

Unprofessional behavior by a faculty member should be reported to the chair of the department in which the faculty member is appointed. Unprofessional behavior may include speech, actions, writing or other behavior that is contrary to the principles laid out in the standards. Unprofessional behavior need not result in mistreatment or harassment to be considered conduct unbecoming of a faculty member at VTCSOM.

Unprofessional behavior, even if not identified as mistreatment, may also be reported to the Learning Environment Advocacy Committee (LEAC).

The process of formal investigation of a student allegation of mistreatment by a faculty member would occur as follows:

1. The student is encouraged to address the issue directly with the faculty member and seek resolution. If the resolution is satisfactory to both parties, no further action is needed and no notification is required.
2. If direct action is not practical or the student wishes to avoid direct action, the student is urged to contact a course director, clerkship director, a member of the VTCSOM Learning Environment Advocacy Committee (LEAC) or another person responsible for the setting in which the alleged mistreatment and/or harassment occurred. The director or a representative of the LEAC would seek additional information regarding the allegation from sources other than the involved student, including (but not limited to) individuals present when the incident occurred, others with direct information about the incident, and the faculty member. Even if a director undertakes this information gathering process directly, LEAC should be notified that a complaint has been received and a fact-finding inquiry started.
3. The director should conduct this fact-finding activity in 10 working days or less.
4. If the director finds that the allegation has no merit and no further action is warranted, the process concludes at this point. The director must forward a brief report to the senior associate dean for Medical Education, the associate dean for Faculty Affairs, and the associate dean for Student Affairs.
5. If the allegation has merit yet the incident is deemed to be readily remediable, the director would contact the faculty member to seek resolution. This may occur by the director providing the faculty member feedback, counseling, instruction, or even reassignment of the VTCSOM-sanctioned activity. Since the process concludes at this point, a brief report should go to the senior associate dean for Medical Education, the associate dean for Faculty Affairs, and associate dean for Student Affairs, and the department chair of the faculty member.
6. If the allegation has merit and the incident is deemed by the director to be of major significance or egregious, the director shall forward the allegation in writing to the senior associate dean for Medical Education, the associate dean for Faculty Affairs, the associate dean for Student Affairs, and the department chair of the faculty member.
   1. VTCSOM has responsibility to assess the allegation of student mistreatment as the allegation relates to the academic activity of the faculty member. The department chair has responsibility to carry out any further assessment as necessary regarding the faculty member’s role in the Department.
   2. Under the direction of the dean for Faculty Affairs, a formal VTCSOM investigation should be initiated. This involves identifying individuals from the Faculty Governance Committee to assist in an investigation. The chair of the Faculty Governance Committee and at least two additional members of the Faculty Governance Committee should be identified as an investigatory subcommittee.
   3. The VTCSOM investigation and any decision should be completed within 20 working days from the time the allegation is delivered to the associate dean for Faculty Affairs.
   4. The VTCSOM investigation may be conducted informally or may involve a hearing. If there is a hearing, both the student and the faculty member would be expected to appear. However, if either the student or faculty member feels the allegation would expose them to undue embarrassment, stress, or other disadvantage, a written statement would be acceptable. Any written statement would have to stand alone without opportunity for further clarification, enhancement or correction. If either or both the student and the faculty member choose to attend a hearing, either or both may be accompanied by one representative. The representative, who may be legal counsel, may sit through the proceedings but that representative could not directly address the hearing.
   5. Following the VTCSOM investigation process, the investigatory subcommittee conducting the investigation should arrive at a consensus regarding the merit of the allegation.
7. The findings of the VTCSOM investigation should be presented to the full Faculty Governance Committee. The Committee either confirms the findings or sends the process back to the investigatory subcommittee for further clarification.
8. If the decision by the Faculty Governance Committee is that mistreatment of a student did occur, a proposed sanction should be determined. Sanctions could involve: a formal apology; feedback or counseling of the faculty member; reassignment of either student or faculty member to avoid contact with the involved student; reassignment of the faculty member to eliminate teaching opportunities through VTCSOM-sanctioned activities; withdrawal of the VTCSOM faculty appointment; or other sanctions.
9. A final report including the allegation, the findings of the Faculty Governance Committee, and the proposed sanction should be forwarded to the Dean. The Dean would review and make the final decision. Copies of Faculty Governance Committee report and the Dean’s decision should be sent to the senior associate dean for Medical Education, the associate dean for Faculty Affairs, the associate dean for Student Affairs, the department chair of the faculty member and to the chair of the LEAC. The associate dean for Faculty Affairs carries out the sanction or delegates as appropriate regarding academic issues. The associate dean for Student Affairs informs the student and follows up as necessary. The department chair oversees any other consequences not relevant to academic sanctions.
10. If the student is not satisfied with the outcome of this process, they may appeal in writing, within 5 business days, to the Dean. The final decision rests with the Dean. There is no further appeal.
11. No student will be subject to unfair action or treatment by the administration or faculty of VTCSOM as a result of the initiation of a complaint.
12. If the allegation by the student was found not to have merit, and there is a pattern of allegations without merit from that student, the student should be referred to the Medical Student Performance and Promotion Committee (MSPPC). If there is a pattern of allegations directed towards a faculty member, even with exoneration, the faculty member should be referred to the Faculty Governance Committee.
13. Other:
    VTCSOM students also have the opportunity to express concerns about faculty conduct to the Virginia Tech Faculty Senate Committee on Faculty Ethics (CFE). For more information, see chapter two of the Virginia Tech Faculty Handbook.

Students at Virginia Tech are also invited to review key portions of the Student Code of Conduct (Office of Student Affairs): Statement of Student Rights and Responsibilities; Virginia Tech Principles of Community; Student Complaints. Also relevant are policies of the Graduate School, which may be viewed online in the Graduate Catalog.

Complaints about any function of the university are ordinarily handled through the normal administrative chain. Students who wish to file a formal complaint should write a letter to the head of the administrative unit responsible for the area of complaint. The letter should detail the problem being complained of and the redress requested. There are some types of complaints, which have additional formal mechanisms for redress, which are explained in University Policies for Student Life and other university documents. Students who desire assistance in determining the most appropriate avenue for addressing a specific complaint should contact the Dean of Students Office.

Special note is made of the possibility of an intimate relationship developing between a medical student and a faculty member. An intimate relationship occurring in which a faculty member has a direct teaching, supervisory, mentoring, or precepting role and would be making or contributing to an assessment (grade) of the student directly contradicts the standards and would be considered mistreatment. The process described for mistreatment of a student would be followed. An intimate relationship may develop apart from any teaching or supervisory role the faculty may have over the student. Even if consensual, such behavior is considered unprofessional and the process for evaluation and possible sanction outlined in this section would apply.

The department chair has the responsibility to assess any report of unprofessional behavior. The chair would follow guidelines within the department or the institution. Following any investigation, the conclusion, including any planned action, by the chair regarding unprofessional behavior should be forwarded in the form of a report to the senior associate dean for Medical Education, the associate dean for Faculty Affairs and the associate dean for Student Affairs.  The associate dean for Faculty Affairs would take the report to the Faculty Governance Committee for review. After review of the chair’s report, the Committee would determine whether a sanction that relates to the faculty member’s academic position be imposed, up to and including revocation of the faculty appointment to VTCSOM.

The report from the department chair and the recommendations from the Faculty Governance Committee regarding the nature of the unprofessional behavior and any proposed academic sanction should be forwarded to the Dean. The Dean would review and make a final decision regarding any action by VTCSOM.

4.0      References

• Faculty Affairs Policy on Standards of Ethical and Professional Conduct for Faculty (FA-5005)
• Faculty Affairs Policy on Title IX Harassment and Discrimination (FA-5011)
• Virginia Tech Principles of Community Statement
• Virginia Tech Student Code of Conduct
• Virginia Tech Graduate School Policies and Procedures
• Virginia Tech University Policies for Student Life
• Virginia Tech Dean of Students Office