Policy and Process to Address Allegations of Failure to Uphold the Professional Standards of the Rackham Graduate Faculty

Policy

The Rackham Graduate School recognizes the deep significance of graduate education to the University of Michigan’s mission and excellence. The Rackham graduate faculty have distinctive academic and professional responsibilities for guiding Rackham doctoral, masters, and certificate students in advanced study and research and for preparing them as scholars, researchers, teachers, and professionals in many fields. To advance graduate education in Rackham programs, the Rackham Executive Board has established a Statement of Values, Privileges, and Responsibilities of the Rackham graduate faculty (“the Statement”). The Rackham graduate faculty—defined by the bylaws of the Rackham Executive Board—are University of Michigan faculty who engage in the education, mentorship, and training of Rackham graduate students. The Statement describes the professional standards of the Rackham graduate faculty; the present document describes the policy and process to be followed upon allegations that a Rackham graduate faculty member has not upheld the professional standards of the Statement. This policy and process represent implementation of the university’s Professional Standards for Faculty (SPG 201.96) in the graduate school and in the context of faculty activity relevant to membership in the Rackham graduate faculty.

The Graduate School acknowledges the complex nature of the academic, scholarly, and professional relationships that Rackham graduate faculty hold with members of the Rackham community, including Rackham students. Disputes between Rackham graduate faculty and others may naturally arise, even in situations when Rackham graduate faculty are upholding the professional standards of the Statement. The Rackham Graduate School has adopted an Academic Dispute Resolution Policy and Procedures to provide both informal and formal mechanisms to address such conflicts and to recognize the responsibilities of faculty and students in their various roles. Allegations of inequity and/or unfairness in decisions or procedures that affect students’ academic standing and progress to degree will always be handled under the dispute resolution policy. The present policy and procedures apply to allegations that a member of the Rackham graduate faculty has seriously violated the professional standards of the Statement.

Process

Scope

The graduate school will use the following process to respond to an allegation that a member of the Rackham graduate faculty has seriously violated the professional standards and responsibilities of the Statement (“an allegation”).

Other university policies and procedures may apply to an allegation of Rackham graduate faculty misconduct or professional standards violation; the following matters are governed by the appropriate policies administered by Rackham or other university units:

• Allegations of inequity and/or unfairness in decisions or procedures that affect students’ academic standing and progress toward the degree will be handled under Rackham’s Academic Dispute Resolution Policy and Procedure.
• Allegations that a member of the Rackham graduate faculty has violated the university’s non-discrimination and harassment policies will be referred to the university’s Office of Equity, Civil Rights, and Title IX (ECRT).
• Allegations that a member of the Rackham graduate faculty has engaged in research misconduct will be referred to the Office of the Vice President for Research (OVPR).
• Allegations that a member of the Rackham graduate faculty has violated an employment contract will be referred to the relevant academic school/college.

The graduate school accepts the findings of the above-listed units as well as investigations undertaken by another college, school, or institute, insofar as they involve allegations in which a member of the Rackham graduate faculty has violated the professional standards of the Statement. In consultation with the dean of the appropriate academic unit and with the Rackham Executive Board, the Dean of the Rackham Graduate School (“Rackham dean”) has responsibility to ensure that appropriate action, up to and including the issuance of sanctions, is taken to address situations in which a violation of the Statement is determined to have occurred.

Submission of Allegations

Allegations that a Rackham graduate faculty member (the “Respondent”) has seriously violated the professional standards of the Statement can be submitted confidentially to the attention of the Dean of the Rackham Graduate School. The identity of the person submitting the allegation will be protected to the extent possible, and consistent with principles of due process. A submission can be brought forward anonymously but, depending on the level of information available about the incident and the individuals involved, the ability to respond to an anonymous report may be limited. In this case, the Rackham dean will take steps to address a submitted allegation consistent with the information available. The graduate school upholds the university’s non-retaliation policy (SPG 601.90) at all times. Individuals engaged in this process will be offered support and consultation resources, as coordinated by an independent member of Rackham’s Graduate Student and Program Consultation Services (GSPCS) team.

Preliminary Inquiry of Submitted Allegations

If an allegation is received under this policy, the Rackham dean can establish a committee composed of a Rackham assistant dean and a representative of the GSPCS team to perform a preliminary inquiry. Barring exceptional circumstances the preliminary inquiry should be completed in 14 calendar days. In case of conflict of interest the Rackham dean will appoint a different Rackham assistant dean. If no Rackham assistant dean is available, then a Rackham staff member will perform the preliminary inquiry. Both the assistant dean and the Rackham staff member are individuals with reporting obligation (IRO).

As a result of the preliminary inquiry, the committee will make a recommendation to the Rackham dean. There are three possible recommendations of the preliminary inquiry:

1. The allegation does not require further action because it does not rise to the status of serious under this policy; or there is insufficient information to pursue the complaint.
2. The allegation should be referred to another university unit to be addressed under its policy and procedures; the Rackham dean will make the referral to the other unit;
3. The allegation is recommended for investigation.

The committee communicates the results of the preliminary inquiry and their recommendation to the Rackham dean. The Rackham dean evaluates the results of the preliminary inquiry and decides whether to accept the recommendation. The assistant dean will inform the person who submits an allegation of the Rackham dean’s decision (if this person is known). There is no appeal of this decision. The types of allegations that might not warrant further investigation in most cases include disagreement with Rackham graduate faculty feedback on graduate student work and an isolated, unintentional instance of unprofessionalism.

In instances in which the allegation will not receive further action, the Rackham dean may at their discretion, and as part of a restorative approach, engage the Respondent in discussion about the professional standards of the Statement and/or refer the matter for resolution under the Rackham Academic Dispute Resolution Policy and Procedure.

In instances in which the Rackham dean accepts the recommendation that an allegation be investigated the Rackham dean will inform the dean of the school/college and together they will inform the chair of the department in which the Rackham graduate faculty member holds primary appointment that a Rackham investigation will be opened. At this stage, the confidentiality of the person who made the complaint cannot be guaranteed.

Investigation of Allegations

If the Rackham dean decides to open an investigation of the allegation, the dean constitutes an investigatory committee consisting of a Rackham divisional associate dean whose responsibility is outside of the division in which the graduate program is located (chair), an associate dean of the school/college in which the graduate program is administratively located, and a Rackham graduate faculty member from outside the discipline, selected by the Rackham dean. All members of the investigatory committee need to report any conflict of interest to the Rackham dean for resolution. The investigatory committee will be assisted by a Rackham staff member and may, at its discretion, request support from other organizations, including Academic Human Resources and Office of General Counsel. The Rackham dean informs the Respondent that an investigation has been opened before the committee interviews the Respondent. Barring exceptional circumstances the investigation will be concluded within 45 calendar days.

The committee investigates the allegation. This investigation will include, at a minimum, invitations to the following to meet individually with the committee: (1) the person who submitted the allegation (if known); (2) the Respondent; and, (3) the chair(s) of the Respondent’s graduate program. Other meetings can be scheduled, or information requested, at the discretion of the committee. Any participant in this process may bring an adviser (e.g., a friend, colleague, family member, attorney, etc.) to any meetings with the investigatory committee, with prior notification and to serve in an advisory capacity only. During the investigatory process, the graduate school upholds the university’s non-retaliation policy (SPG 601.90) at all times; the investigatory committee will reinforce to all participants that they must do the same.

The committee issues a written report, signed by all members, summarizing the findings of the investigation and a determination, by the preponderance of the evidence, of whether the allegation of a serious violation of the professional standards of the Statement is substantiated. The written report can include a dissent by any member of the committee. The committee will share the report with the Respondent. The Respondent may submit a response to the report to the committee within ten calendar days. The response may be no more than 1000 words. The committee will submit its final report and any responses received to the Rackham dean.

Outcome of the Investigation

Upon receiving the report, the Rackham dean will provisionally decide whether sanctions are warranted and, if so, what these sanctions are. At this stage in the procedure the Rackham dean will also receive findings of any investigations undertaken by another college, school, or institute, insofar as they involve allegations in which a member of the Rackham graduate faculty has violated the professional standards of the Statement as described above under the scope of this policy. The Rackham dean will also decide whether sanctions are warranted on the basis of these findings, and if so, what these sanctions are.

In determining sanctions, the Rackham Dean may use the findings of investigations by other campus organizations, as described under the Scope of this Process. Sanctions are limited to actions the Rackham dean can take with respect to the Respondent as it relates to their role as a member of the Rackham graduate faculty and can include measures such as exclusion from service on Rackham dissertation committees as well as suspension of membership in the Rackham graduate faculty for a specified period of time. Before issuing a final sanction decision the Rackham dean will perform the following steps:

First, the Rackham dean will share the investigative report with the dean (“the academic unit dean”) of the school/college in which the member of the Rackham graduate faculty holds appointment. The Rackham dean will confer with the academic unit dean about the provisional decision. The Rackham dean will confer with each academic unit dean in the event that the Rackham graduate faculty member holds joint appointments.

Second, the Rackham dean will convene a standing subcommittee of the Rackham Executive Board, which is the elected faculty governance of the graduate school. The standing subcommittee will consist of at least four members of the Rackham Executive Board, one from each disciplinary division. The Rackham dean will summarize the investigative report, the provisional decision, and the result of the conference with the academic unit dean. The Rackham dean will confer with the standing subcommittee about the provisional decision, thereby receiving their counsel.

After completing these steps, the Rackham dean will issue a final sanction decision.

The Rackham dean will draft a decision letter to the Respondent describing the process followed, summarizing the investigative findings, and communicating the final sanction decision. The Rackham dean will share this letter in draft form with the academic unit dean. After the academic unit dean has reviewed the draft letter, the Rackham dean will finalize it and submit it to the Respondent. The Rackham dean will provide copies of the final letter to the person who submitted the allegation (if known) and each academic unit dean in which the Respondent holds appointment.

Appeal

A Rackham graduate faculty member who receives a sanction under the process described above may submit a written appeal of the final decision by the Rackham dean within 20 working days of the receipt of that decision. The appeal shall be submitted to the Rackham Graduate Faculty Appeal Panel. The findings and proposed sanction of the Rackham dean decision shall be presumed valid on appeal and shall be rejected only because of substantial errors of fact or interpretation of university regulations, or because of serious procedural irregularities.

The Rackham Graduate Faculty Appeal Panel shall consist of three Rackham graduate faculty members selected by lot from a list of 20 former members of the Rackham Executive Board who have an active appointment at the University of Michigan. If there is a conflict of interest (SPG 201.65-1), a different member will be selected by lot. One of Rackham’s associate deans not previously involved in the case will convene the Rackham Graduate Faculty Appeal Panel and receive its findings. The Rackham Graduate Faculty Appeal panel can either confirm or overturn the sanction proposed by the Rackham dean. Either decision ends the process and procedure.

Sanction

Any sanctions imposed as a result of this policy and process would take effect only after the appeal process has run out.

Annual Report to the Executive Board

The Rackham dean will annually report to the Executive Board what the outcomes of this policy and process were. This report will be general and not include personal information.

Records

Records of all preliminary inquiries, investigations, and sanctions will be kept at Rackham Graduate School. Records of sanctions will be kept in the personnel file of the Respondent.

Review and Updates

This procedure will be reviewed and updated by Rackham’s Executive Board on a three-year cycle. The next review will occur in the academic year 2025-2026.