Regardless of which University office initially receives a Report or the medium of the Report, the Dean of the school of the Respondent’s appointment generally will be responsible for responding to the Report and pursuing any appropriate disciplinary action on behalf of Brown. The Dean generally will not take disciplinary action upon a Report that is submitted anonymously. Reports that are submitted anonymously will receive an initial assessment to determine whether any further fact-finding review is possible, or if such review is limited or prevented by anonymity. The Dean will treat every Report with sensitivity, discretion, and fairness, and will afford confidential treatment to the degree possible. If at any time the Dean becomes aware of alleged conduct potentially covered by the University Title IX Policy, the Nondiscrimination and Anti-Harassment Policy, or the Policy on Handling Allegations of Research Misconduct, the Dean shall suspend all action under this policy and shall make an immediate referral in writing to the appropriate office(s) to determine whether one or more of these policies applies, and if so, shall request the office(s) receiving the referral to report to the Dean in writing any disposition, at which time the Dean will determine whether any further action is appropriate under this policy or any other applicable Brown policy.

Note: All references to the “Dean” throughout this policy shall refer to Dean of the Faculty, the Dean of Medicine and Biological Sciences, the Dean of Public Health, the Dean of Professional Studies, or the Dean of Engineering, and shall include the Dean’s designee. If a Respondent has an appointment at multiple schools, the Deans of the respective schools shall confer to determine who shall address the Report; if the Deans cannot reach agreement, the Provost shall decide which Dean shall address the complaint. If a Dean is a Respondent, all references to the “Dean” throughout this policy shall be replaced by the “Provost” and shall include the Provost’s designee as identified by the Provost in writing to serve in that capacity for the purpose of this policy.

Upon receiving a Report, the Dean shall conduct an initial assessment to determine whether to take action and, if so, appropriate options for action. The Dean may consult with the Complainant or Respondent or any Brown office. If the Dean determines to take no action or to refer a Report elsewhere, the Dean shall notify the Complainant in writing.

If the Dean determines to act upon a Report, there are three options for action:

• The parties may agree upon a resolution that does not involve disciplinary action against the Respondent and that the Dean determines is appropriate.
• The Dean may determine that, if the allegations in the Report are true, they could constitute adequate cause for Probation with Restrictions, Suspension without Pay, or Dismissal. The Dean shall then implement Section 3.1.3 of this policy.
• The Dean may determine that, if the allegations in the Report are true, they could constitute adequate cause for some other disciplinary action at a level lower than Probation with Restrictions. The Dean shall notify the Respondent in writing of the proposed disciplinary action and provide the Respondent with an opportunity to respond in writing and/or in person within ten (10) business days, prior to a final determination issued by the Dean. The Respondent retains the right to seek review of the Dean’s determination from the Committee on Grievance and Procedural Integrity.

In addition, as an interim measure, the Provost may remove a Respondent from campus property, place the Respondent on paid administrative leave, or assign a material change in work responsibilities, based on an individualized analysis of physical safety and risk for the campus community and risk to the integrity of any investigation of a report. The Provost shall provide the Respondent with written notice of any such proposed action and an opportunity to challenge the proposed interim action. That notice shall include a statement that Brown’s use of any information the Respondent chooses to provide shall not be limited to evaluating the proposed action but may extend to implementation of this policy. The Respondent may challenge the proposed interim action within 72 hours of the notice, either in writing or in a meeting with the Provost. The Provost may seek input from the Complainant and will then decide whether to impose the proposed interim action.

Note: While this policy designates time frames with the goal of achieving a reasonably prompt response to Reports, Brown may extend any time frame for good cause, which shall be documented in writing and shall become part of the records retained by the Dean as described in the policy.

If the Dean determines Probation with Restrictions, Suspension without Pay, or Dismissal may be an appropriate potential resolution to a Report if the allegations in the Report are true, the Dean shall notify the Complainant and Respondent in writing, normally within thirty calendar days of receiving the Report. If there are multiple Complainants, the Dean has the discretion to determine whether this initial notification and all subsequent communications should occur with individual Complainants or to the Complainants as a group or multiple sub-groups, depending on the nature of the Report.

The Dean’s initial notification to the Complainant and the Respondent shall include the following:

• The names of the Complainant and the Respondent;
• A description of the allegations in the Report, including the time, location, and specific nature of the alleged conduct;
• An invitation to provide any information relevant to the Report and the names of any witnesses with relevant firsthand knowledge of the alleged conduct, within thirty calendar days of the date of the notification;
• A description of the steps the Dean’s office may take to investigate and resolve the Report, as outlined below;
• A statement that the Dean refrains from prejudging the outcome of the fact-finding review;
• A prohibition against retaliation;
• A direction to preserve any potentially relevant information; and
• An instruction to keep the matter strictly confidential including, but not limited to, a prohibition against the Respondent discussing the matter with the Complainant and vice versa.

The Dean’s initial notification to the Respondent shall also include an invitation to provide an optional written response to the allegations in the Report within thirty calendar days of the date of the notification, while also explaining that the Respondent is under no obligation to provide such a response. 

The Dean may undertake any appropriate steps to conduct a fact-finding review, or may appoint a trained internal or external investigator to conduct a confidential, prompt, thorough, fair, and impartial fact-finding review resulting in written findings of fact and determinations of the violation of any applicable law or any Brown policy or standard. The fact-finding review shall be completed as expeditiously as possible, normally within sixty (60) calendar days of the Dean’s initial notification to the parties. 

If the Dean decides to appoint an investigator, the Dean shall notify the parties of the name of the investigator in writing and shall give the parties the opportunity to challenge the selection of the investigator via a written submission within three business days describing any conflict of interest or bias that would compromise that individual’s objectivity. The Dean shall issue a written determination to the parties regarding the outcome of any such challenge, and that determination shall be final. 

Throughout the fact-finding review, the parties shall receive the following from the Dean or the investigator, along with reasonable time frames for the completion of each step:

• The opportunity to submit relevant information, and/or the names of witnesses with relevant firsthand knowledge, supporting their position, along with the information that the Dean or the investigator is responsible for determining relevance of any information;
• The opportunity to review records or other information submitted by the other party, to the extent permitted by FERPA and other applicable laws, and to submit questions that the Dean or the investigator may exercise discretion to determine whether to pose to the other party or witness(es); and
• The opportunity to be notified of substantial new allegations and to respond with additional relevant information and/or witnesses.

The Dean or investigator shall prepare a written report with factual findings and determinations of any violation of law or Brown policy or standard, utilizing a preponderance of the evidence standard. The report shall be issued simultaneously to both parties (and to the Dean, if an investigator has been appointed).

Within thirty (30) calendar days of the issuance of the report, the Dean shall notify both parties in writing that the Dean is taking one of the following actions:

• The Dean is taking no disciplinary action and the matter is now concluded.
• The Dean has determined there is adequate cause for Probation with Restrictions, Suspension without Pay, or Dismissal and is proceeding under Section 4.0 below.
• The Dean has determined there is adequate cause for some other disciplinary action at a level lower than Probation with Restrictions. The Dean shall notify the Respondent in writing of the proposed disciplinary action and provide the Respondent with an opportunity to respond in writing and/or in person within ten (10) business days, prior to a final determination issued by the Dean. The Respondent retains the right to seek review of the Dean’s determination from the Committee on Grievance and Procedural Integrity.

Suspension without Pay or Dismissal of a member of the Faculty during either a term appointment or tenure is a rare event. Probation with Restrictions is also a significant sanction. All of these must be handled fairly and expeditiously through a process protecting the rights of the Faculty member and the University. This policy outlines the steps the University will generally take to impose Probation with Restrictions on a member of the Faculty, suspend a member of the Faculty, or to dismiss a member of the Faculty from a term or tenured appointment. Nothing herein shall limit the Corporation’s authority to remove any member of the Faculty for adequate cause. 

Adequate cause for these sanctions may be based on any or all of the reasons in the following non-exhaustive list: (a) demonstrated incompetence or misconduct which substantially impairs the individual’s fulfillment of institutional responsibilities; (b) dishonesty in teaching, research, scholarship, or other academic responsibilities; (c) demonstrated substantial and manifest neglect of duty; (d) violation of applicable law or Brown policy or standard with a negative impact on the University’s operations or obligations; (e) demonstrated material misrepresentations in dealings with University officials, including during the appointment process.

If the Dean determines there is adequate cause for Probation with Restrictions, the Dean shall consult with the Chair of the Faculty Executive Committee (FEC) (or the Chair of the Medical Faculty Executive Committee (MFEC) for Warren Alpert Medical School Faculty in clinical departments) or the Chair’s designee by submitting the report generated from the fact-finding review and a letter conveying the basis for the Dean’s determination of this disciplinary action. Within ten (10) business days of the submission of this letter, the FEC or MFEC Chair or designee shall determine and notify the Dean in writing whether the matter warrants implementation of Section 3.3.3 below, including the appointment of an Ad Hoc Hearing Committee. 

If the Chair or designee determines that the matter does not warrant the implementation of Section 3.3.3, then the Dean shall notify the Respondent in writing of the proposed Probation with Restrictions and provide the Respondent with an opportunity to respond in writing and/or in person within ten (10) business days, prior to a final determination issued by the Dean. The Respondent retains the right to seek review of the Dean’s determination from the Committee on Grievance and Procedural Integrity.

If the Chair or designee determines the matter does warrant the implementation of Section 3.3.3, then the Dean shall proceed expeditiously to implement Section 3.3.3 as described below.