Chapter 1. History

 Chapter 2. Organization of the Alpert Medical School

 Chapter 3. Faculty Affairs

 Chapter 4. Organization of AMS Departments

 Chapter 5. Medical School Faculty Governance

 Chapter 6. Faculty Responsibilities

1. Statement Of Faculty Responsibilities
2. Roles And Responsibilities For Teaching
3. Guiding Principles Of Professional Behavior
4. Faculty Disciplinary Actions
5. Teaching Evaluations Of Faculty
6. Conflict Of Interest
7. Patent And Invention Policy
8. Sexual Harassment
9. Drug Free Workplace
10. Copyright Laws
11. Scientific Misconduct
12. EEO/AA Policy

 Chapter 7. Brown Format For Curriculum Vitae

 Chapter 8. Faculty Promotion Tracks

 Chapter 9. BMFA Schedule For Processing Actions

 Chapter 10. Faculty Recruitment

 Chapter 11. Faculty Appointments

 Chapter 12. Faculty Reappointments

 Chapter 13. Annual Reviews of Faculty

 Chapter 14. Faculty Promotion Process

 Chapter 15. Guidelines For Faculty File Access

 Chapter 16. Postdoctoral Appointments/Reappointments

 Chapter 17. House Staff/Fellow Appointments/Reappointments

 Chapter 18. Faculty Benefits

 Chapter 19. Visa Appointments

 Chapter 20. Teaching / Excellence Awards For Clinical Faculty

 Chapter 21. Grievance Procedures

 Chapter 22. Resources

Chapter 6

Faculty Disciplinary Actions

Warren Alpert Medical School of Brown University faculty are members of an academic community in which integrity and trust are as important as professional competence and scholarly achievement. Standards for faculty conduct are consistent with those of the University and the broader professional community. These standards have worked over time to meet and respond to contemporary concerns as well as long held medical community standards of conduct. This document pertains to non-tenure track faculty in clinical departments. This document does not replace existing policies requiring employment of academic faculty by affiliated organizations.

General Principles observed in addressing allegations subject to disciplinary action:

• Warren Alpert Medical School of Brown University faculty maintain academic and professional standards consistent with the highest traditions of teaching, research, and patient care.
• Warren Alpert Medical School of Brown University faculty are responsible to the public, to the academic community and to affiliated institutions and agencies.
• Enforcement of the standards is necessary to protect the rights and reputations of all individuals, including those alleged to have engaged in misconduct and the individual who has made the allegation.
• Allegations will be resolved carefully and objectively providing appropriate opportunity for all parties with legitimate interests to be heard as promptly as possible.

1. Incompetent performance of professional duties
2. Neglect of academic duty
3. Misconduct in research, including
• falsification, fabrication, or theft of data or samples
• unauthorized use of privileged information
• abuse of authorship
• significant failure to comply with federal, state, or University rules governing research
4. Conviction of a felony
5. Unprofessional conduct sanctioned by a lawfully constituted authority, such as, but not limited to, loss of the license to practice medicine in Rhode Island or elsewhere
6. Sanction by a professional entity such as a hospital, grant- funding agency, or professional society
7. Unlawful conduct that obstructs the orderly functioning of the medical school
8. Gross personal misconduct
9. Other egregious conduct that violates the Faculty Rules of Brown University.

Scope of Sanctions:

University sanctions for violations of the standards of conduct should be commensurate with the seriousness of the misconduct. Conduct which is egregious, willful, repeated, or in violation of law may be grounds for immediate suspension or termination. Disciplinary actions against faculty may include the following:

• Reprimand (with or without notice to the file)
• Probation (always noticed to the file)
• Suspension (always noticed to the file)
• Dismissal (always noticed to the file)

Procedures for addressing allegations of misconduct:

1. Any allegation of misconduct brought to the attention of the Dean must be in written form with sufficient detail for the nature of the alleged misconduct to be identified. No anonymous complaints will be accepted, although at the complainant's request reasonable efforts to maintain anonymity will be made. Strict confidentiality will be maintained regarding all proceedings until a decision has been reached regarding disciplinary actions, if any. The department chair will be notified unless there is a compelling reason why this should not occur.

Allegations may be submitted by individuals, organizations or entities. Formal notification of sanction by the state or another organization shall not require a separate complaint.

2. The Dean or designee (eg department chair) will review all allegations of misconduct and determine whether it is appropriate to initiate a formal investigation. If the allegation involves the chair, the Dean or another uninvolved designee (eg associate dean) will review the allegations. The Dean's designee will report to the Dean regarding the review of the allegations. Review of allegations will be completed within 30 business days of the complaint.

3. Pursuant to certain circumstances, the matter may be referred to another body for review or investigation.

1. If the matter involves behavior at an affiliated organization, the Dean will have the option of asking the affiliated organization to investigate the allegation, reporting back to the Dean. The Dean may decide that the University should perform its own investigation. The decision about faculty status remains with the Dean.
2. If the matter involves competence to hold a valid license to practice medicine, the Dean will refer the matter to the Board of Licensure and Discipline of the relevant state. The decision about faculty status remains with the Dean.
3. If the matter involves scientific misconduct, then the existing University policy on scientific misconduct will be followed.
   The findings of the other body will be considered by the Dean in determining faculty status, as in item 6.

4. If it is determined that a matter is appropriate for university investigation, the Dean will notify the faculty member and the department chair of the charge in writing. The faculty member will be invited to respond in writing regarding the allegation(s).

5. The Dean will convene an ad hoc Investigation Committee composed of at least 3 faculty members at or above the faculty rank of the faculty member under discussion, at least two of whom must be members of a different department. The faculty member will have the right to appear before the Investigation Committee as part of the investigation procedure. The faculty member may be accompanied by another Brown faculty member, if it is so desired. Faculty may not be accompanied by legal counsel at meetings of the ad hoc Investigation Committee. The Investigation Committee will report in writing to the Dean regarding the validity of the charges.

6. Upon receipt of the report of the Investigation Committee or the results of the investigation by another body, the Dean may take one of the following actions:

• The Dean may find that there is no basis in the charge and close the matter.
• The Dean may uphold the charge.
• If the misconduct is minor, a reprimand may be issued.
• If the misconduct is serious, the Dean will determine the sanction, as defined above.
• If the Dean is not able to come to a decision, the Dean shall forward the report of the Investigation Committee along with a report to the Provost of the special circumstances precluding the Dean from making a decision.

7. The Dean will report the decision regarding faculty status to the Provost who will review the action and report to the President. The Provost may agree or disagree with the recommendation of the Dean.

8. If the faculty member under discussion contests the Dean's review, then the matter will be referred to the Provost who will reach a decision and determine the disciplinary action to be taken, if any. The faculty has 30 business days after notification of the action on faculty status to appeal the Dean's decision to the Provost.

9. If the allegation involves misconduct on the part of the Dean, the matter will be referred to the Provost, who will investigate and resolve the matter.

10. The faculty member has the right to appeal in accordance with Brown University's Grievance Procedures (See section on Medical Faculty Executive Committee). Any appeal must take place within 30 days of a final decision on faculty status by the Dean and/or the Provost.

11. The ultimate authority for determination of whether the individual remains on the faculty rests with the President and the Corporation.

Notifications regarding findings:

The Dean will notify any governmental agencies or offices in accordance with requirements for such notifications. Notices include, but are not limited to, the following:

1. Federal regulations relating to research require notice to the Office of Scientific Integrity of plans to conduct an investigation.
2. If the faculty member has an appointment with a university affiliated organization, the Dean will inform the organization of any disciplinary actions taken.
3. If the faculty member is licensed to practice, the Dean will inform the State of any disciplinary actions taken.