Frequently Asked Questions & Answers About the
Faculty-Student Relationships Policy
at the University of Michigan
(Standard
Practice Guide Section
601.22)
April 19, 2004
- What are the most important
things for me to know about this policy?
- Is it okay for a faculty member to
have a romantic and/or sexual relationship with a student?
- Who is included in the definition of “faculty”?
- What constitutes “supervisory responsibility”?
- Who is included in the definition of “student”?
- What if a relationship occurs between a faculty member and
a student where no supervisory relationship exists? Does the
University have
an interest in that situation?
- Why doesn’t the University prohibit
all romantic and/or sexual relationships
between faculty members and
students?
- Why has this policy been created?
- Under the policy, what defines a “romantic relationship”?
-
- Does this policy
apply to people
who do not hold a UM appointment
but who have
supervisory
responsibility
for students
in either a paid or volunteer
position?
- What about romantic
and/or sexual
relationships between UM staff
and students?
- Why can’t the faculty member and
the student
resolve the conflict
of interest by themselves
(e.g., by the student
dropping the faculty
member’s class)?
- Does this policy
apply
to a romantic or sexual relationship
between
a Graduate
Student
Instructor
and an
undergraduate student?
- What
if
the relationship
is
over? Does
the
policy
still
apply?
- Does
the
student have
a
duty to
disclose the relationship,
or
does
the
burden
fall
solely
on
the faculty member?
- When the faculty member discloses
a relationship
to an
academic administrator,
who will
find out
about it?
- Is there
someone besides
the department
Chair to
whom a faculty member can
disclose a
relationship?
- As a faculty member,
I’m not
certain whether
my relationship
with a student
(current or
past) is one
that I am required
to disclose.
I’d
like to get
some general
advice as
a first
step. Who
can I contact?
- What should
I do
if I’m
convinced a faculty member is
having a
romantic or
sexual relationship
with a
student over
whom he
or she
also has
supervisory responsibility?
(Back to top)
- What does
it mean
that the
student must find the plan for resolving the
conflict of interest
to be “acceptable”?
Should the student sign the plan to indicate her or
his
acceptance of it?
- Why is
this particular
conflict of
interest singled
out for
coverage in
an independent
policy rather
than in
a general
conflict of
interest policy?
- If a faculty member is
found to
have violated
the policy,
what types
of sanctions
can be
issued?
- If a
student has
a romantic
and/or sexual
relationship with
a faculty member and
then later
files a
claim of
sexual harassment
against the faculty member,
will the
University legally
defend and
indemnify that faculty member (i.e.,
provide him
or her
with legal
defense against
the charges)?
- How does
this policy
compare to
those at
other universities?
Which others
schools,
if
any, have
a policy
like this
one?
- Who can
students, faculty members,
and academic
administrators
contact
when
they
have questions
or
need
advice?
1. What are the most
important things for me to know about this policy?
Faculty members’ many professional roles with students—instructor,
mentor, research advisor, supervisor, and frequently at the graduate
level as scholarly colleague and collaborator—are the heart
of education and learning in a university environment. When a faculty
member has a romantic and/or sexual relationship with a student
for
whom he or she also has supervisory responsibility in any of these
roles, a conflict of interest arises that must be disclosed and
resolved.
Briefly, the policy strongly discourages romantic and/or sexual
relationships between faculty members and students while
recognizing that such relationships
sometimes occur. The policy states, “If a romantic and/or
sexual relationship occurs or has occurred between a faculty
member and a
student for whom the faculty member has supervisory responsibility,
an inherent conflict of interest arises. When a conflict of this
nature occurs, the faculty member must disclose the relationship
so that a
resolution to the conflict can be sought.”
The Office of the Provost developed the policy after extensive consultation
and dialogue with faculty, staff, and students across campus about
the interests and needs of faculty members, students, and the University.
Why is the term faculty member in italics?
In the faculty-student relationships policy, the term faculty member includes, “any University or University-sanctioned teacher, mentor,
or supervisor of students.” For example, it includes clinical
faculty members, research faculty, Graduate Student Instructors,
Graduate Student Research Assistants, and others (also see questions
#3 and
#4 below). When the term faculty member is used in this document,
it refers to all such individuals. The term faculty member is italicized
throughout the document wherever it can refer to any person who
is
functioning as a faculty member within the context of the policy.
2. Is it okay for a faculty member to have a romantic and/or sexual
relationship with a student?
The University strongly discourages romantic and/or sexual relationships
between faculty members and students. Such relationships can pose risks
to the faculty member, the student, or to one or more third parties.
When a student voluntarily consents to such a relationship, that consent
is suspect because of the unequal power of the two participants in
the relationship. Such relationships can also lead the student to file
a claim of sexual harassment if he or she feels exploited.
In addition, other faculty members, staff members, or students may
worry about undue advantage or unfavorable treatment as a result of
the relationship. These concerns can damage the educational environment
whether the favoritism is real or perceived.
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3. Who is included in the definition of “faculty”?
In the policy, the term faculty member refers to all faculty
members and to all other individuals with supervisory responsibility for students
in an educational setting. This includes any University or University-sanctioned
teacher, mentor, or supervisor of students including but not limited
to, regular instructional faculty, clinical faculty, supplemental and
research faculty, postdoctoral fellows, graduate student instructors,
graduate student research assistants, preceptors, and graders.
To have supervisory responsibility over students in an academic setting
does not necessarily require that the person hold a paid appointment
at the University.
4. What constitutes “supervisory responsibility”?
We do not restrict the concept of supervision to a direct supervisor-employee
relationship. Rather, we refer to “supervisory responsibility” more
broadly to include, but not limited to, teaching, research, academic
advising, coaching, service on evaluation or thesis committees,
grading, recommending in an institutional capacity for employment,
fellowships,
or awards. This supervision can occur on or off campus, in curricular,
co-curricular, or extra-curricular activities. When necessary,
academic administrators will decide on a case-by-case basis whether
the policy
applies.
5. Who is included in the definition of “student”?
All students who have matriculated into a degree program at the University
are covered under the policy. Such students do not necessarily need
to be currently enrolled for the policy to apply to them (e.g., students
who have matriculated but have not yet registered for classes, students
who decide not to enroll for a period of time, and doctoral degree
candidates who are not registered). Individuals in non-degree educational
programs (e.g., professional or continuing education seminars) are
also considered to be students under the terms of the policy.
6. What if a relationship occurs between a faculty
member and a student
where no supervisory relationship exists? Does the University have
an interest in that situation?
While recognizing that sometimes a relationship occurs between a faculty member and a student, the University strongly discourages such relationships, as stated in the policy.
7. Why doesn’t the University prohibit all romantic
and/or sexual relationships between faculty members and students?
Again, the University strongly discourages romantic and/or sexual
relationships between faculty members and students. The focus of
the policy, however,
is on the conflicts of interest that may arise as a result of such
relationships, and the University’s responsibility for resolving
such conflicts of interest.
The University recognizes that romantic and/or sexual relationships
between a faculty member and a student can and do occur under circumstances
in which the faculty member has no supervisory responsibility for the
student and is not likely to ever have such responsibility. Therefore,
no conflict of interest arises as a result of such relationships.
8. Why has this policy been created?
The teacher-student relationship lies at the foundation of the educational
process. As a matter of sound judgment and professional ethics, faculty
members have a responsibility to avoid any apparent or actual conflict
between their professional responsibilities and personal relationships
with students. Previously, the Sexual Harassment policy addressed romantic
and/or sexual relationships between faculty members and students.
The new policy was created for several reasons. Because not all faculty-student
relationships lead to claims of sexual harassment, the University needs
a policy that stands alone instead of being part of the Sexual Harassment
Policy. Creating a new policy also allowed the University to articulate
clearly its values, expectations, and procedures for responding to
conflicts of interest that arise as a consequence of romantic and/or
sexual faculty-student relationships. The new policy also specifies
more clearly what types of actions constitute violations of the policy
and the range of sanctions that can be issued.
9. Under the policy, what defines a “romantic relationship”?
A formal definition of “romantic relationship” is likely
to be incomplete and debatable. Even the most reasonable people may
disagree about the meaning of “romantic.” Therefore, the
policy leaves it up to the academic administrator and the involved
parties to answer this question on a case-by-case basis. The policy
uses the term “romantic and/or sexual” because a romantic
relationship may or may not include a sexual relationship.
Also see UM Standard
Practice Guide 201.23 Appointment of Relatives or Others with Close
Personal or External Business Relationships (Nepotism).
(Back to top)
10. Does the policy apply to trainees, postdoctoral fellows, residents,
and other individuals who are in positions that involve advanced study?
The answer to this question depends on the person’s role
in the situation.
Any trainee, postdoctoral fellow, resident (e.g., House Officer) or
person in a similar position who is functioning in a faculty
member role as defined in the faculty-student relationships policy must adhere
to the policy as a faculty member. For simplicity, the term trainee is used in the paragraphs below to represent this group of individuals.
Under other circumstances, however, the University would view a
trainee as a “student” under the terms of this policy. Specifically,
if a UM faculty member has supervisory responsibility for a trainee
and can influence the individual’s career progression--and
also has a romantic and/or sexual relationship with this person,
a conflict
of interest arises and the faculty member must disclose the relationship.
In relationships involving trainees, the University’s nepotism
policy may also apply. The nepotism policy applies whenever someone
holds a University position that is under the supervision of a
relative or a person with whom he or she has a close personal or
external business
relationship. In this situation, the two University employees must
disclose the relationship to their administrator, who must resolve
the conflict with a written agreement. See UM
Standard Practice Guide 201.23 Appointment of Relatives or
Others with Close Personal
or External
Business Relationships (Nepotism).
11. Does this policy apply to people who do not hold a UM appointment
but who have supervisory responsibility for students in either a paid
or volunteer position?
Yes. The policy applies to all individuals who have supervisory responsibility
for students in an educational setting. This supervision can occur
on or off campus, in curricular, co-curricular, or extra-curricular
activities. Outside the obvious settings (e.g., the classroom, interactions
with faculty, research endeavors, etc.), academic administrators will
need to decide on a case-by-case basis as to whether the policy applies.
12. What about romantic and/or sexual relationships between UM staff
and students?
During discussions about the faculty-student relationship, it became
clear that the University needs a parallel employee-student relationship
policy. The Offices of the Provost and Human Resources and Affirmative
Action are developing such a policy.
When both individuals are University employees, the University’s
nepotism policy would apply (i.e., UM
Standard Practice Guide 201.23 Appointment of Relatives or Others
with Close Personal or External
Business Relationships (Nepotism). The nepotism policy requires
that both employees disclose the relationship to their administrator,
who
must resolve the conflict with a written agreement.
13. Why can’t the faculty member and the student resolve the
conflict of interest by themselves (e.g., by the student dropping the
faculty member’s class)?
If a faculty member and a student wait to enter into a romantic
and/or sexual relationship until after the faculty member has no
supervisory
responsibility for the student and is not likely to have such responsibility
in the future, no conflict of interest arises. Therefore, in making
this decision they have by themselves “resolved” any
potential conflict of interest.
If the two people have already entered into a relationship, a conflict
of interest arises that potentially affects multiple parties, including
the faculty member, the student, other faculty members, other students,
and the University. Therefore, it is not appropriate for the faculty
member and the student alone to assess what would constitute an appropriate
resolution to the conflict of interest. Instead, the faculty
member must disclose the relationship to the appropriate academic administrator,
who will take these multiple interests into account as he or she attempts
to resolve the conflict of interest.
14. Does this policy apply to a romantic or sexual relationship between
a Graduate Student Instructor and an undergraduate student?
Yes, if the GSI has supervisory responsibility for the student. If
so, a conflict of interest exists, and the GSI must disclose the relationship
to the appropriate academic administrator.
15. What if the relationship is over? Does the policy still apply?
A faculty member may be prohibited from having supervisory responsibility
over a student with whom he or she has had a romantic and/or sexual
relationship in the past. Regardless of the duration or exact nature
of the romantic and/or sexual relationship, the faculty member must
disclose the relationship so that the academic administrator can consult
with the involved parties and then decide whether a current conflict
of interest exists.
(Back to top)
16. Does the student have a duty to disclose the relationship, or does
the burden fall solely on the faculty member?
The faculty member is responsible for disclosing the relationship.
17. When the faculty member discloses a relationship to an academic
administrator, who will find out about it?
University administrators need to respond appropriately to all conflicts
of interest that arise under this policy. To this purpose, the administrator
will need to inform those individuals who are involved in attempting
to resolve the conflict of interest. Within this context and in accordance
with University policy, the University expects administrators to make
every reasonable effort to preserve confidentiality and protect the
privacy of all parties.
18. Is there someone besides the department Chair to whom a faculty
member can disclose a relationship?
Yes, the faculty member may disclose the relationship to an appropriate
administrator at a higher level (e.g., an associate dean, dean, or
director). However, if that administrator decides a conflict of interest
exists, the disclosure must lead to a written plan to resolve the conflict
of interest. Therefore, in many cases the academic administrator will
need to be informed and involved.
19. As a faculty member, I’m not certain whether my relationship
with a student (current or past) is one that I am required to disclose.
I’d like to get some general advice as a first step. Who
can I contact?
The following individuals and offices are good resources. However,
when a faculty member seeks general advice from any of these contacts
or others, he or she has not satisfied the policy requirement that
he or she disclose the relationship.
An instructional, clinical, or research faculty member may wish to
consult with any of the resources below:
• Any of the School and College Faculty Ombuds (for a list of Ombuds,
visit http://www.umich.edu/~sacua/Facres/omblst.html.
• The Office of Academic Human Resources on the Ann Arbor campus (763-8938)
A student who needs to disclose a relationship because of his or her
role as a faculty member as defined in the policy (e.g., a GSI or a
GSRA) may consult with the University Ombuds for students (763-3545
or see http://www.umich.edu/~ombuds/ ). Students who are enrolled in
the Rackham Graduate School should contact the Rackham Resolution Officer
at 647-7548.
20. What should I do if I’m convinced a faculty
member is having a romantic or sexual relationship with a student over
whom
he or she
also has supervisory responsibility?
If feasible, you may wish to approach the faculty member who may be
in a romantic and/or sexual relationship with a student to make him
or her aware of the policy and the requirement that faculty
members must disclose such relationships.
If you are a faculty or staff member who sees an unresolved conflict
of interest that follows from a relationship between a faculty
member and a student, you should contact a relevant academic administrator
(in most cases, a department chair) or the Office of Academic Human
Resources on the Ann Arbor campus (763-8938). To do so supports
the
University’s commitment to a good learning environment for
all students.
21. What does it mean that the student must find the plan
for resolving the conflict of interest to be “acceptable”?
Should the student sign the plan to indicate her or his acceptance
of
it?
The University must be able to demonstrate that the student found
the resolution to the conflict of interest to be acceptable. Therefore,
the head of the academic unit (e.g., the dean, director, or equivalent),
who has final responsibility for the plan, must secure some form
of
written evidence that the student finds the plan to be acceptable
(e.g., the student’s signature on the plan).
If the faculty member, academic administrator, and head of the academic
unit cannot develop a plan that the student finds to be acceptable,
then the head of the academic unit may decide that no resolution to
the conflict is possible and the romantic and/or sexual relationship
must be discontinued until the faculty member no longer has supervisory
responsibility for the student.
22. Why is this particular conflict of interest singled out for coverage
in an independent policy rather than in a general conflict of interest
policy?
It is true that the conflict of interest covered under the Faculty-Student
Relationships policy is only one of a range of possible conflicts of
interest, including those that arise from business relationships external
to the University.
However, we also know from experience that conflicts of interest
that arise because of a romantic and/or sexual relationship between
a faculty
member and a student can be especially complex and challenging
because of the private nature of the relationship and because of
the implications
for third parties. For this reason, it is not surprising that so
many of the University’s peer institutions have adopted some
form of a faculty-student relationship policy.
Also see UM Standard
Practice Guide 201.23 Appointment of Relatives or Others with Close
Personal or External Business Relationships
(Nepotism).
23. If a faculty member is found to have violated the
policy, what types of sanctions can be issued?
If a faculty member is charged with violating the policy, the dean
is responsible for investigating the charges and, if the dean finds
the charges to be accurate, for taking appropriate action. The
dean can issue sanctions up to and including termination of appointment
or, in applicable cases, may initiate the procedures in Regents
Bylaw
5.09 Procedures in Cases of Dismissal, Demotion, or Terminal Appointment.
If a student, while functioning as a faculty member as defined
in the policy, is charged with violating the policy, the University
will decide
on the most appropriate venue to review the charges and, if the
student is found to have violated the policy, to set appropriate
sanctions
up to, and including, expulsion.
(Back to top)
24. If a student has a romantic and/or sexual relationship with
a faculty member and then later files a claim of sexual harassment
against the
faculty member, will the University legally defend and indemnify
that faculty member (i.e., provide him or her with legal defense
against
the charges)?
It is the University's policy to defend and indemnify faculty and
staff who become parties to legal proceedings by virtue of their
good faith
efforts to perform their University employment responsibilities
(see Standard Practice
Guide 601.09 Defense and Indemnification).
Whether
a faculty or staff member has acted in good faith will depend on
the facts of each particular case, and will be decided on a case-by-case
basis.
Generally, if the faculty member has adhered to the faculty-student
relationships policy and any other applicable University policies,
yes, the University will most likely defend and indemnify the faculty
member. However, if the faculty member has violated the faculty-student
relationships policy by not disclosing the relationship or violated
any other University policy, the University might not defend or
indemnity the faculty member and he or she will be responsible
for the payment
of attorneys’ fees and any judgment or settlement.
25. How does this policy compare to those at other universities?
Which others schools, if any, have a policy like this one?
Some institutions prohibit romantic and/or sexual relationships
between faculty members and students. Other institutions have policies
in place
with a basic premise that consent in the relationship is unlikely
to be viewed sympathetically as a legal defense if the student
files an
accusation of sexual harassment. Institutions with policies that
are similar to the University of Michigan’s new policy include
Duke University, Michigan State University, Pennsylvania State
University,
the University of Chicago, and Stanford University.
26. Who can students, faculty members, and academic administrators
contact when they have questions or need advice?
Any individual should initially contact the academic administrator
of his or her unit, who in most cases will be a department chair
or program director.
Individuals also have the option of contacting any of the following
offices or people:
• Assistant Provost Glenda Haskell (haskell@umich.edu or 936-3546)
• Associate Provost Janet Weiss (janetw@umich.edu or 763-1282)
• Office of Academic Human Resources (763-8938)
• Office of Institutional Equity (see http://www.umich.edu/~hraa/oie/ or
763-0235)
Another helpful resource for students is the University Student Ombuds
(763-3545 or at http://www.umich.edu/~ombuds/).
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