Code of Conduct

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Code of Conduct

1. Preamble

The University of Arizona College of Medicine recognizes that one of its most important missions is to educate students to become physicians and to provide exceptional Graduate Medical Education programs. It further recognizes that physicians have been entrusted by society to carry out vital responsibilities, including maintenance of health and the prevention, diagnosis and treatment of disease. In accepting this trust, society expects members of the medical profession to act honorably in all of their endeavors. This responsibility applies to practicing physicians and faculty members in academic medical centers, house officers and students alike.

The University of Arizona College of Medicine strives to encourage faculty, students, residents and fellows to conduct themselves in a manner that demonstrates respect for others, regardless of their race, gender, ethnicity, sexual preference or level of training. As an institution, the University of Arizona College of Medicine recognizes the right of faculty members, students, residents and fellows to express their ideas, values and religious beliefs and to practice them within the confines of the ethics and acceptable standards of the medical professional. Students, residents, fellows and faculty should consider that each individual has particular strengths and limitations. Faculty members should treat students, residents and fellows as developing professionals and future colleagues. Students, residents and fellows should respect each other and the faculty in the same professional manner.

The University of Arizona College of Medicine recognizes that students, residents and fellows may be subject to undue influence by faculty and other employees. Therefore, the College of Medicine has, by adopting this Code of Conduct, recognized that such influence should not impact the ability of a student, resident or fellow to complete his or her training, and that any undue influence or attempt to exercise such influence by a faculty member or other employee within the College of Medicine shall be governed by this Code of Conduct, as well as other Codes of Conduct promulgated by the University of Arizona or the Arizona Board of Regents. To the extent that this Code is not inconsistent with other University of Arizona or Arizona Board of Regents policies or rules, it shall apply to faculty, students, residents and fellows alike. Other University policies and procedures govern conduct and grievances arising from misconduct that affect other University staff.

II. Educational Program

As a means of informing students, residents, fellows and faculty of the existence of this Code and its general precepts, as well as to familiarize them with the Complaint Resolution Process set forth herein, the College of Medicine shall provide an educational program to each new faculty member, student, resident and fellow, which has, as its program goals, the following:

To familiarize individuals and departments with this Code and other applicable University or Arizona Board of Regents Codes of Conduct.
To inform individuals and departments of the consequences of Code violations.
To offer acceptable alternatives to abusive behavior when dealing with problems that may occur in the course of professional interactions with faculty, students, residents, or fellows.
To increase the awareness of students, faculty, residents and fellows of when, why, and how the abuses occur, to facilitate and encourage prevention.
To encourage more acceptable behaviors towards all members of the medical care delivery team.

As a means of providing this education, the Arizona College of Medicine, through its Human Resources professionals and Division of Academic Resources, shall prepare and distribute a written manual, which shall contain a copy of this Code, and shall cross-reference to other applicable University and Arizona Board of Regents Codes of Conduct for students, faculty and other employees of the University of Arizona. Additionally, the manual shall provide a list of services and resources that are available to faculty, students, residents, and fellows who may be experiencing difficulties with behavior that may result from myriad outside influences.

The manual shall make clear that, notwithstanding such outside influences that may affect an individual’s behavior, appropriate disciplinary action may be taken, up to and including dismissal from school or from employment, should those behaviors not be remediated. Such disciplinary action shall be taken in accordance with existing policies and procedures applicable to all students, faculty and other employees at the University.

III. Non-discrimination Policies at the University of Arizona

The University of Arizona does not discriminate on the basis of sex, age, race, religion, color, national origin, Vietnam Era Veteran’s status, or disability in its admissions, employment and educational programs or activities, and is required by federal and state law not to discriminate on such bases. University policy also prohibits discrimination on the basis of sexual orientation and prohibits sexual harassment. Should students, residents, fellows or faculty believe that they have been discriminated against on any of these bases, they may file a complaint with the Equal Opportunity and Affirmative Action Office, located at University Services Building, 888 N. Euclid, Tucson, AZ 85724. That office shall provide the exclusive forum for raising issues regarding unlawful discrimination or complaints regarding alleged sexual harassment at the University of Arizona.

IV. Definitions. In this Code, unless the context otherwise requires:

“Abuse” or “abusive behavior” means, with respect to a student, resident or fellow, conduct that results in the infliction of, or allows another person to inflict or cause physical pain or injury, wrongful confinement, impairment of bodily function, disfigurement or that would cause a reasonable person emotional damage. To constitute abuse, the inappropriate conduct need not be physical, but also may include verbally mistreating an individual. It shall also constitute abuse for a faculty member or other employee of the College of Medicine to solicit a student, resident or fellow to provide medication, write a prescription or procure medication, of whatever kind, for the faculty member or other employee or a member of that individual’s family or other person. Abuse shall also include sexual misconduct, assault, molestation, incest, or prostitution of, or with, a student, resident or fellow. Abuse also may be defined by other established University policy or by law, as it may be modified from time to time. To the extent that other University policy also defines this term, the term shall include those definitions. Nothing in this policy shall require that, if the conduct about which an individual complains constitutes criminal conduct, the procedures under this policy shall foreclose making a criminal complaint to appropriate law enforcement authorities.
“Board” means the Arizona Board of Regents.
“Complainant” is an individual or individuals who file a written complaint about the conduct of another, which conduct is alleged to be in violation of this Code or another policy of the University of Arizona. An oral complaint that is not reduced to writing shall not be considered by the Complaint Investigation, Resolution and Advisory Committee, but may be investigated by an appropriate administrator, in his/her discretion.
“Complaint Investigation, Resolution and Advisory Committee” (CIRAC) means that Committee established by the Dean of the College of Medicine that shall be charged with investigating, reviewing and attempting to resolve formal complaints of abuse, harassment or misconduct toward students, residents and fellows. This Committee shall serve as an advisory committee to the Dean of the College of Medicine and shall prepare findings of fact, conclusions and recommendations to the Dean following investigations and review of complaints.
“Delegate” shall mean an individual appointed by the CIRAC to assist students, residents, fellows or faculty throughout either an informal or formal complaint process, as set forth in this policy. “Delegates” shall not be members of the CIRAC.
“Faculty” means all employees of the Arizona Board of Regents in teaching, research, or service, whose notice of appointment is as lecturer, instructor, assistant professor, associate professor, professor or otherwise designated as faculty on the notice of Appointment or Notice of Reappointment. For purposes of this Code, faculty may include volunteer faculty who receive a notice of association from the University. Graduate students who serve as assistants, associates or otherwise, are academic appointees as well as graduate students but are not members of the faculty.
“Harass” shall mean actions of a repeated nature that, either intentionally or unintentionally, could reasonably cause another individual to suffer either emotional or physical pain or anxiety. Persistent and unwarranted criticism that takes on the form of personal attacks shall also constitute harassment. “Harass” shall not include “sexual harassment,” which is defined and prohibited by other University policies. Any complaints related to allegations of sexual harassment shall be governed by those policies already in effect at the University and shall be filed with the Equal Opportunity and Affirmative Action Office.
“Misconduct” is an act that violates or attempts to violate the Code provisions set forth herein or a violation of any other policy of the University defining misconduct.
“Records” shall mean any written account that is made prior to or as a result of a complaint that arises under this policy.
“Representative” shall mean the person or persons designated by an individual to assist the complainant or respondent in protecting that individual’s rights under this Code and any other policy of the Arizona Board of Regents, the University or its College of Medicine. The representative may or may not be an attorney. In no event shall either the University of Arizona or its College of Medicine be required to secure legal representation or to pay for legal representation should an individual who is a party to a complaint hereunder choose to obtain legal counsel. A representative, whether or not an attorney, shall act only as an advisor, and shall not directly participate in any investigation or meetings conducted under this Code.
“Resident” or “Fellow” shall mean an employee of the Arizona Board of Regents who is participating in a residency or fellowship training program at the University of Arizona College of Medicine, and whose employment is governed by an employment agreement under the provisions of the University Handbook for Appointed Personnel, Chapter 4, and the Arizona Board of Regents Policy Manual.
“Respondent”shall mean the individual about whom a complaint has been filed.
“Student” means any person registered or enrolled in one or more classes, except a faculty member or full‑time employee who takes any course as a privilege of employment. Graduate students who serve as assistants, associates or otherwise, and all other students employed part‑time are classified as students rather than faculty or other university employee.
“University” means The University of Arizona.
“Verbally abuse” shall mean to “abuse,” as that term is defined in number 1 above, by means of spoken words.

V. Institutional Responsibilities of Faculty Members and Members of the College of Medicine Administration to Students, Residents and Fellows

Faculty members and members of the College of Medicine administration shall provide:

An environment for students, residents and fellows that is physically safe for those individuals.
A curriculum in which education is paramount in the assignment of all tasks. In assigning tasks to students, residents and fellows, faculty and administration shall keep in mind that the primary purpose of such assignments is to enhance the individuals’ educational experience. Faculty should place the individual’s role as a member of a health-care team as a secondary role to the educational needs of students, residents and fellows.
Support for the individual’s professional development. This support should include a carefully planned and well-articulated curriculum. The administration should facilitate the progress of the students, residents and fellows through this curriculum. Faculty members and administration should support students, residents and fellows in their personal development as they deal with the various adjustments to the profession and the difficulties they may encounter in their lives outside of the institution.
An understanding that each student, resident and fellow requires a certain amount of free time for self-care, social and family obligations and recreation.
Accurate, appropriate and timely feedback to students, residents and fellows concerning their performance in the curriculum. In evaluating students, residents and fellows, faculty and administration should act in a manner that is consistent with the stated goals of the educational activity, which should, in turn, be meaningful for future medical practice. In addition, faculty should provide students, residents and fellows feedback during the educational activity or during the training program, as well as at the end of the course or the completion of the training program, in a professional and respectful manner.
Opportunities for students, residents and fellows to participate in the decision-making within the College of Medicine, including participation in determining curriculum, evaluation tools, etc.

VI. Responsibilities of Students, Residents and Fellows to Faculty and Members of the Administration of the College of Medicine

Students, residents and fellows shall:

Respect the authority of the faculty in determining the proper training environment and activities for their education.
Meet the objectives of the curriculum to the best of their abilities.
Take an active role with the faculty regarding the refinement and evaluation of the curriculum.
Communicate to the faculty regarding the refinement and evaluation of the curriculum.
Support their colleagues in their professional development.
Assume an appropriate level of responsibility in health-care teams and execute these responsibilities to the best of their abilities.

VII. Misconduct. In addition to that conduct prohibited by “The University of Arizona Code of Conduct” set forth in Appendix A to the University Handbook for Appointed Personnel, the following conduct shall be deemed misconduct with the College of Medicine.

To commit an act of physical violence against another, unless such act is in self-defense.
To threaten to harm another individual either by word or deed, whether or not the other is bound by this Code of Conduct.
To verbally abuse another individual associated with the University of Arizona College of Medicine, whether or not that individual is a faculty member, student, resident or fellow.
To violate or attempt to violate the provisions set forth herein or in other official policies of the Arizona Board of Regents or The University of Arizona, to knowingly assist or induce another to do so, or do so through the acts of another.
To commit a criminal act, whether in connection with the individual’s participation in an educational program or activity or otherwise, which reflects adversely on the individual’s honesty, trustworthiness or fitness as a faculty member, student, resident or fellow in other respects.
To engage in conduct involving dishonesty, fraud, deceit or misrepresentation.
To knowingly make a false allegation or accusation or statement in connection with a complaint under investigation under this Code.

VIII. Reporting Inappropriate Conduct or Misconduct. Every faculty member, student, resident or fellow who has knowledge that another faculty member, student, resident or fellow has committed a violation of this Code or other University policy or has committed an act that raises a substantial question regarding that individual’s honesty, trustworthiness or fitness as a faculty member, student, resident or fellow in other respects, or that substantially affects the educational process at the College of Medicine, shall advise: in the case of a student, the Office of Student Affairs; in the case of a resident or fellow, the training director of the department in which the resident or fellow is participating; or in the case of a faculty member, the Dean of Academic Affairs. This mandate shall not apply to delegates whose confidence is obtained to report such incidents, unless it appears from such reports that the conduct constitutes sexual harassment, which should be referred to the Equal Opportunity and Affirmative Action Office for investigation. In the event an individual bound by this Code observes conduct that s/he believes may be criminal in nature, s/he also may contact an appropriate law enforcement officer. Nothing in this Code shall require an individual who has been subjected to criminal misconduct to proceed exclusively under this Code. Failure to report inappropriate conduct or misconduct described herein may result in discipline imposed upon the individual who, under this Code, knows of such violation and fails to report it to the individuals named above. Such discipline may be imposed under applicable policies of the Arizona Board of Regents or The University of Arizona. In no event shall the reporting of inappropriate conduct or misconduct under this Code result in retaliation or retribution of any kind against the individual who reports such inappropriate conduct or misconduct or who cooperates in an investigation or otherwise participates in the procedures set forth in this Code.

IX. Confidentiality. The “Complaint Investigation, Resolution and Advisory Committee” (CIRAC) and its delegates shall respect the confidentiality of the information obtained, either in a complaint filed or through an investigation conducted hereunder, except where disclosure of information provided to them is required by an obligation imposed on the University by law or policy or by other provisions of this Code.

X. Informal Complaint Procedure.

A. It is the objective of the College of Medicine to ensure that, if a student, resident or fellow believes s/he has been the subject of abuse, harassment or misconduct, s/he may lodge a complaint and expect resolution of the complaint in an unbiased and timely manner.

B. Complainant’s Obligations.

If the parties cannot resolve the complaint amongst themselves, the complainant is encouraged to contact the student/resident/fellow delegate, who shall be appointed by the CIRAC, or a student peer counselor to discuss the problem. The delegate shall not be a member of the CIRAC.
Prior to filing a formal complaint, the complainant shall pursue resolution among the immediate parties, unless the complainant previously has attempted informal resolution of the complaint or believes an attempt to informally resolve the complaint will be futile. In such event, the complainant may proceed directly to the formal complaint process set forth below.

C. Faculty Assistance in Informal Process.

There shall be a faculty delegate, who shall be appointed by the CIRAC, to act in an advisory capacity for faculty who are the subject of a complaint, who can provide appropriate avenues for resolution of student/resident/fellows’ complaints. The delegate shall not be a member of the CIRAC.
The faculty delegate will work with faculty to resolve a problem and will take no further action unless requested by either party involved or as required by law or university policy.
Faculty members who believe they are the subject of a student, resident or fellow’s complaint are encouraged to consult with the faculty delegate as soon as possible after learning of such complaint.

D. CIRAC Delegate’s Obligations.

Upon notification that an individual has a complaint, the student/resident/fellow delegate or student peer counselor shall:
Meet with the complainant to determine the full extent of the complaint.
1. Discuss possible strategies for resolving the complaint.
2. Determine an acceptable approach to resolving the complaint, which may include, but not necessarily be limited to the following:
  1. Arranging a meeting between the complainant and the named respondent to discuss the complaint.
  2. Arranging a meeting among the complainant, the appropriate delegate(s) from the CIRAC and the named respondent to discuss the complaint.
  3. Notifying the department head of the department in which the faculty member/respondent’s principal appointment lies, the Associate Dean for Student Affairs if the complainant is a student, or the Associate Dean for Clinical affairs if the complainant is a resident or fellow, regarding the existence and substance of the complaint.
The student/resident/fellow delegate shall maintain data on the number of complaints received each year. The data shall include the name of the department in which the respondent works, the nature of the complaint, the sex and level of training of the complainant and whether the complaint is formal or informal. The delegate shall not record the name of either the complainant or respondent in these data. In addition, in matters that do not fall within the ambit of this Code, such as claims of unlawful discrimination or sexual harassment, the delegate shall refer the Complainant to the Equal Opportunity and Affirmative Action Office.

E. If the complainant believes, after s/he has utilized the informal resolution procedures herein, that the matter has been resolved to her/his satisfaction, the matter shall be closed and no further action shall be taken.

F. If, however, the informal procedures do not resolve the complaint, the complainant may file a formal complaint, as set forth below.

XI. Formal Complaint Process.

A. Complaint Investigation, Resolution and Advisory Committee (CIRAC).

The Dean of the College of Medicine shall establish the CIRAC to review and attempt to resolve formal complaints of abuse, harassment or misconduct toward students, residents and fellows. This Committee shall serve as an advisory committee to the Dean of the College of Medicine.
The Dean shall appoint 4 members to serve on the CIRAC: a Resident Member, 2 Faculty Members, and a Dean’s Appointee, who shall be an individual who is a peer of the complainant (e.g., if the complainant is a student, the Dean’s appointee shall be a student; if the complainant is a resident, the Dean’s appointee shall be another resident); the fifth member shall be appointed by the Medical Student Government. Such appointments shall be made or renewed on an annual basis.

B. Filing Formal Complaints and Investigation.

In the event that the complainant chooses not to attempt resolution of a complaint through the informal process set forth above or should the informal complaint process not resolve the complaint, s/he shall, before filing a formal complaint, contact the student/resident/fellow delegate to discuss the circumstances of the complaint and to discuss the reasons the student/resident/fellow believes that the informal complaint process would or did not adequately address the complaint.
A complainant shall initiate a formal complaint by describing the situation about which s/he complains in writing, and shall file the complaint in the office of the Dean of the College of Medicine. The complaint shall be placed on a form that may be obtained from the student/resident/fellow delegate from the Dean’s office. It shall be dated and signed by the complainant. A copy of this form is attached to this policy, but may be amended from time to time. An updated copy of this form will be available in the Dean’s office at all times. Nothing in this paragraph shall entitle a complainant to representation, either by an attorney or by an individual acting on the complainant’s behalf; however, any complainant who desires representation may seek the services of another individual, at her/his own expense.
The complaint shall include:
1. The name of the respondent, the department in which the respondent works, and the approximate date(s) on which the misconduct occurred.
2. A full description of the alleged misconduct.
3. A statement whether the complainant attempted to resolve the matter by informal process prior to filing a formal complaint and the reason that the complainant did not pursue the informal process, if applicable.
4. Whether a student/resident/fellow delegate was consulted prior to filing the formal complaint.
5. The names of any other person(s) who were present during the alleged misconduct and a statement whether they would be willing to provide either oral or written statements in the event the CIRAC undertakes an investigation of the matter. In addition, Complainant shall provide the names of anyone s/he would call as a witness in the event that an investigation were necessary.
The student/resident/fellow delegate from the CIRAC shall, if requested to do so, provide assistance to the student/resident/fellow in completing the complaint form and shall provide assistance throughout the process.
Upon receipt by the Dean’s office of the completed complaint form, the Dean’s office shall provide a copy of the complaint to the respondent, who shall, within 10 days of receipt of the complaint, file a written response to the complaint with the Dean’s office. Upon receipt of the response, the Dean’s office shall forward a copy of the complaint and the response to the CIRAC, which shall conduct any further investigation deemed appropriate or necessary.
After initially reviewing the complaint and the response, the CIRAC may request further documentation, either from the complainant, the respondent, or any third party who may have relevant information about the complaint, including those persons named in paragraph 3.e. above.
The complainant and respondent shall cooperate with the CIRAC. Any person who is requested to provide information but fails to do so may be deemed in default, and the written record, as supplemented, may be interpreted in the light most favorable to the parties who have cooperated with the investigation.
Investigations and Information Obtained During Course of Investigation:
1. Any information obtained from someone other than a party to the investigation shall be kept confidential by the committee members and the parties to the complaint, except as otherwise required by statute, enforcement agencies, university policy or court order.
2. Committee members shall advise any interviewees, as well as the parties to the complaint, of the confidentiality of the information.
3. Unless a matter becomes the subject of a formal disciplinary proceeding, none of the documents, reports, files or other information obtained during the course of an investigation relating to the complaint shall be disclosed to any other person or entity not directly involved in the complaint, except as required by statute, enforcement agencies, university policy or court order.

C. Resolution of Complaint.

In conducting its investigations and prior to making a recommendation to the Dean, the CIRAC may consult with the University Attorneys’ Office regarding appropriate procedures and applicable policies.
After the CIRAC has had an opportunity to review and analyze the information and has gathered any additional pertinent documentation necessary to make a recommendation, the CIRAC may:
1. Recommend a mediation meeting between the complainant and respondent to reach a mutually satisfactory resolution of the complaint, or
2. Assist the parties to negotiate a mutually satisfactory resolution of the complaint.
If the parties are able to resolve the matter either through mediation or negotiation, the CIRAC shall advise the Dean, the Department Head and Associate Dean of Students if the complaint involves a student, and the Associate Dean for Clinical Affairs if the complaint involves a resident or fellow, in writing, that a resolution had been reached between the parties.
If neither mediation nor negotiation resolves the complaint, then the CIRAC shall make written findings of fact, conclusions and recommendations in accordance with paragraph D below, which it shall forward to the Dean.

D. Findings of Fact, Conclusions, and Recommendations.

Based upon a full review of the complaint and any responsive documentation, the CIRAC shall do the following:
1. Determine whether there is evidence sufficient to support a finding of abuse, harassment or misconduct.
2. If the CIRAC finds there is insufficient evidence to support a finding of abuse, harassment or misconduct, but determines that mediation or conflict resolution counseling might assist the parties to resolve their differences, it may recommend a referral. In either event, the CIRAC shall state its findings in writing and deliver such findings to the complainant, the respondent and the Dean of the College of Medicine.
3. If the CIRAC finds there is sufficient evidence to support a finding of abuse, harassment or misconduct, it shall set forth, in writing, the specific evidence that supports such a finding and deliver such findings to the complainant, the respondent and the Dean of the College of Medicine.
4. In the event the CIRAC finds abuse, harassment or misconduct occurred, the CIRAC shall make recommendations to the Dean regarding remedial action, which shall include, but which is not limited to referral of the matter to the appropriate department head or, if the respondent is a department head, to the Dean of Academic Affairs, for disciplinary action consistent with University policies and procedures.
If the CIRAC finds no cause to believe that abuse, harassment or misconduct occurred, but believes that the situation calls for recommendations to the Dean to avoid an opportunity for abuse, harassment or misconduct in a similar situation, it shall provide a summary of its findings and conclusions to the Dean with recommendations to avoid the appearance of abuse, harassment or misconduct in similar situations in the future.

XII.Remedies.

A. Upon receipt of the CIRAC’s written report, the Dean will render a final decision in writing as soon as is reasonably possible after receipt of the written report. Copies of the decision shall be sent to the complainant, the respondent and the CIRAC. The Dean may endorse, modify or reject the findings, conclusions and/or recommendations of the CIRAC. The Dean may direct further investigation or instruct the CIRAC to conduct further investigation on certain facts before rendering a decision.

B. In addition, if the Dean determines that abuse, harassment or misconduct occurred, the Dean shall forward a copy of the CIRAC’s findings, conclusions and recommendation, along with his decision, to the department head or Dean of Academic Affairs and direct them to begin appropriate disciplinary proceedings, which shall be conducted under existing policies and procedures of the University of Arizona and the Arizona Board of Regents.

XIII. Records Retention.

If the Dean finds no cause to recommend disciplinary action, all material gathered throughout the complaint and investigation process will be kept separate from the complainant’s and respondent’s student, resident or faculty files, but shall be retained in the Dean’s office for future reference should additional similar complaints be made regarding the individual about whom the complaint was made. If disciplinary action is undertaken as a result of a complaint, all records prepared in this process shall be available for such disciplinary process.

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