Procedures for the Resolution of Sexual Misconduct Complaints against Faculty, Staff, Affiliates, and Non-Affiliates

Procedures for the Resolution of Sexual Misconduct Complaints against Faculty, Staff, Affiliates, and Non-Affiliates

Abstract:
These procedures will be used to investigate and resolve all complaints of sexual misconduct against UAB faculty and staff members, affiliates, and non-affiliates (i.e. someone not associated with UAB), as appropriate, and should be read in conjunction with UAB's Title IX Sexual Violence and Sexual Misconduct Policy.
Effective Date:
11/22/2016
Contacts:
None Assigned
Administrative Category:
Applies To:
Faculty, Staff
Material Original Source:

​University of Alabama at Birmingham

Procedures for the Resolution of Sexual Misconduct Complaints against Faculty, Staff, Affiliates and Non-Affiliates

November 22, 2016

 

[Edited for contact information changes on August 2, 2018.]
 
 
 
 
 
 
 
I.     OVERVIEW AND APPLICABILITY
 

These Procedures will be used to investigate and resolve all complaints of sexual misconduct against UAB faculty and staff members, affiliates, and non-affiliates (i.e. someone not associated with UAB), as appropriate.[1] Please refer to the Title IX Sexual Violence and Sexual Misconduct Policy (the “Title IX Policy”) for applicable definitions and key terms.  For purposes of the University’s Title IX Policy and these Procedures, an “affiliate” includes, but is not limited to, visiting scholars and post-doctoral fellows who are not otherwise classified as UAB faculty, staff, or students. Complaints of sexual misconduct against UAB students will be investigated and resolved using the Procedures for the Resolution of Sexual Misconduct Complaints against Students.

All other complaints of discrimination or harassment against faculty and staff members, including but not limited to those based on race, color, creed, religion, ethnic origin, age, sex, disability, and sexual orientation, will be resolved using the University’s Equal Opportunity and Discriminatory Harassment Policy.
 
All community members are strongly encouraged to report to the University any incident of “Prohibited Conduct” which includes gender-based assault, harassment, exploitation, dating and domestic violence, stalking, as well as discrimination based on sex, sexual orientation, gender identity, and gender expression, and related retaliation (as defined in the Title IX Policy).  Many University administrators are specifically trained to support individuals affected by Prohibited Conduct and the University is fully committed to promoting a safe and healthy educational and work environment.
 
 
 
II.  RIGHTS OF THE COMPLAINANT AND RESPONDENT
 
These Procedures for the investigation and resolution of sexual misconduct (including sexual harassment) complaints brought against faculty, staff, affiliates and non-affiliates are designed to be accessible, prompt, fair, and impartial. Throughout this process, both the complainant and respondent have the following rights:
  • To be treated with respect, dignity, and sensitivity.
  • To receive appropriate support from the University.
  • The presence of an Adviser throughout the process
  • Confidentiality to the extent possible, consistent with applicable law and University policy.
  • Information about the University’s Title IX Policy.
  • A prompt and thorough investigation of the allegations.
  • To refrain from making self-incriminating statements. A resolution, however, will be determined with the information made available by the parties.
  • Notification, in writing, of the case resolution, including the outcome of any appeals.
  • For the Complainant, to report the incident to law enforcement (including the UABPD or with the police department in the jurisdiction in which the sexual misconduct occurred) at any time. 
 
 
III.        RESOURCES AND REPORTING OPTIONS

All individuals are encouraged to seek support from on and off campus resources, regardless of when or where the incident occurred. Trained professionals can provide guidance in making decisions, information about available resources and procedural options, and assistance to either party in the event that a report and/or resolution under the Title IX Policy and these Procedures is pursued.  Below is detailed information regarding reporting options, including, Confidential Resources.

A.    Confidential Resources
 
Confidentiality exists in the context of laws that protect certain relationships, including with medical and clinical care providers (and those who provide administrative services related to the provision of medical and clinical care), mental health providers, counselors, and ordained clergy, all of whom may engage in confidential communications under Alabama law. The University has designated individuals who have the ability to have privileged communications as “Confidential Employees.” When information is shared by an individual with a Confidential Employee or a community professional with the same legal protections, the Confidential Employee (and/or such community professional) cannot reveal the information to any third party except when an applicable law or a court order requires or permits disclosure of such information. For example, information may be disclosed when: (i) the individual gives written consent for its disclosure; (ii) there is a concern that the individual will likely cause serious physical harm to self or others; or (iii) the information concerns conduct involving suspected abuse or neglect of a minor under the age of 18.
 
Employees who qualify for the confidentiality privilege by law will maintain strict confidentiality in all circumstances. These include employees at the Employee Assistance and Counseling Center (205-934-2281 and http://www.uab.edu/humanresources/home/resourcecenter) and other mental health professionals. Reporting discrimination or sexual misconduct through such employees will not serve as notice to the University to address the alleged discrimination or misconduct.
 
B.    Reporting Considerations and Options
1.    Time for Reporting.
 
Although all members of the University community are encouraged to report sexual misconduct immediately in order to maximize the University’s ability to respond promptly and equitably, the University does not limit the time frame for reporting. However, the University’s ability to investigate and respond effectively may be reduced with the passage of time.
2.    How to Make a Report.
 
Any person may make a report, including anonymously, of Prohibited Conduct to the Title IX Coordinator, Human Resources, Athletics, or the Office of Diversity, Equity and Inclusion:

Title IX Coordinator:
Kasey M. Robinson
Title IX Coordinator
Hill Student Center, Suite 405
1400 University Blvd.
(205) 205-996-1340
Kaseyr@uab.edu

 

Student Conduct and Student Outreach:

Jonathan Adams
Director, Student Conduct and Student Outreach

Hill Student Center, Suite 303
1400 University Blvd.
(205) 975-9509
adamsj@uab.edu

Human Resources:
Chris Driskill
Investigator, HR Employee Relations
Administration Building, Room 215
701 20th Street South
(205) 934-7562
cdriskill@uab.edu

Athletics:
Katreshia L. Verrett
Senior Associate Athletics Director/SWA

Bartow Arena, East Tower 310-B
617 13th Street South
(205) 975-6283
kverrett@uab.edu

Office of Diversity, Equity, and Inclusion:
Anita Clemon
Assistant Vice President for Institutional Equity and Deputy Title IX Coordinator
Administration Building, Suite 336
701 20th Street South
(205) 975-8258
aclemon@uab.edu

UAB Health System
Deborah F. Grimes
Chief Diversity Officer
Medical Education Building
1813 6th Avenue South
(205) 975-3334
dgrimes@uab.edu

For the Huntsville and Montgomery Campus, in addition to the above, reports can also be made to:

UAB School of Medicine - Huntsville Regional Medical Campus:

W. Scott Bence (or his designee)
Executive Administrator and Assistant Dean
301 Governors Drive
Huntsville, AL 35801
(256) 539-7757
 
UAB School of Medicine - Montgomery Regional Medical Campus:
Ramona Hicks (or her designee)
Director of Student and Academic Affairs
2119 E. South Blvd., Suite 304
Montgomery, AL 36116
(334) 551-2004
 
Reports can also be made to any Responsible Employee, or to another appropriate office such as Student Affairs or the Office of Provost. Reports shall be sent to the Title IX Coordinator.  If the person to whom a report normally would be made is the Respondent, reports may be made to another “Responsible Employee” (as defined in the Title IX Policy). 
 
Anonymous reports may be made submitting online at:
With respect to anonymous reports, depending on the level of information available about the incident, the University’s ability to respond to an anonymous report may be limited.
 
In cases in which the report was made anonymously or by a third party (such as a family member, friend, roommate, adviser, or faculty member), the Title IX Policy will apply in the same manner as if the Complainant had made the initial report. The Title IX Coordinator or designee will make every effort to meet with the Complainant to discuss available options and on-campus and off-campus resources.
 
3.    Emergency/Immediate Assistance
 
The University encourages all community members affected by sexual misconduct to seek immediate assistance.  Doing so promptly may be important to ensure the person’s physical safety or to obtain medical care or other support.  It may also be necessary to preserve evidence, which can assist the University or law enforcement in responding effectively. Assistance is available from the UAB Police Department (UABPD) 24 hours a day, 7 days a week at (205)934-3535. The UABPD will investigate every incident reported to them to determine if a crime has been committed.  The UABPD will also inform the University Title IX Coordinator of the incident.  Any criminal investigation by UABPD or other law enforcement agency is independent from any conduct investigation undertaken by the University under the Title IX Policy. Victims of sexual violence are not required to report to law enforcement in order to receive assistance from or pursue any options provided by UAB.
 
4.    Prohibition on Retaliation
 
It is illegal and a violation of the University’s Title IX Policy to retaliate against a person for filing a complaint of sexual misconduct or for cooperating in a sexual misconduct investigation. Any person who retaliates against a person for reporting sexual misconduct, filing a sexual misconduct complaint, or participating in a sexual misconduct investigation is subject to disciplinary action up to and including termination of employment.
 
 
IV. INTERIM PROTECTIVE MEASURES
 
Interim measures are available upon receipt of a report of Prohibited Conduct and prior to the resolution of a complaint, as appropriate. Interim measures are available to provide for the safety of the Complainant and the campus community while the University is investigating an allegation of sexual misconduct. A Complainant (or someone on the Complainant’s behalf) may request interim measures from the University Title IX Coordinator or a Deputy Title IX Coordinator. The Title IX Coordinator will work with the appropriate office(s) to ensure that any necessary interim measures are promptly provided. The University may impose any measure that can be tailored to the parties involved to achieve the goals of the Title IX Policy. The range of interim measures may include, but not be limited to:
  • Access to counseling services and assistance in setting up initial appointments, both on and off campus
  • Resources on and off campus for trained advocates who can provide crisis response
  • Imposition of a campus “No-Contact Order”
  • Advocacy support to obtain orders of protection within the criminal justice system
  • Rescheduling of exams and assignments
  • Providing alternative course completion options
  • Change in class schedule, including the ability to drop a course without penalty or to transfer sections
  • Change in work schedule or job assignment
  • Change in student’s campus housing
  • Emergency numbers for on and off campus law enforcement, and how the University can assist in notifying law enforcement if desired
  • Assistance from University support staff in completing housing relocation
  • Limiting access to certain University facilities or activities pending resolution of the matter
  • Paid Voluntary leave of absence
  • University and community sexual assault response resources
  • How to seek care for injuries, STI testing, etc.
  • Importance of and explanation of how to preserve evidence in case the behavior is also a potential criminal act
  • Where to get a rape kit/SANE exam
  • Encouragement of prompt reporting of all crimes to the appropriate law enforcement agency, paired with a commitment from UAB that appropriate support will be offered in every case 
  • Providing academic support services, such as tutoring
  • Institutional resources pertaining to visa/immigrant status
  • University-imposed leave, suspension, or separation for the Respondent
  • Any other measure which can be tailored to the involved individuals to achieve the goals of this Policy
Upon the receipt of a report of sexual misconduct, and until any investigation into the report has been completed, the University will provide reasonable protective measures and interim support to provide a safe educational and work environment and to prevent additional acts of sexual misconduct, even when there is no specific request for protective action.
 
The University may impose any measures that can be tailored to the parties involved to achieve the goals of the Title IX Policy. An individual’s failure to comply with restrictions imposed by interim measures is a violation of the Title IX Policy and a basis for conduct action.
 
Protective measures also may be available by filing a complaint with law enforcement. For example, police departments may provide civil protection orders and other measures when criminal complaints are filed.
 
 
 
V.    INVESTIGATION AND SANCTIONS PROCEDURES
 
A.    Time Frame for Resolution
 
The University will seek to resolve every report of sexual misconduct within sixty (60) calendar days of the start of an Investigation, not counting any appeals. Best efforts will be made to complete the process in a timely manner by balancing principles of thoroughness and fundamental fairness with promptness. The Title IX Coordinator may set reasonable time frames for required actions under the Title IX Policy and these Procedures. Those time frames may be extended for good cause as necessary to ensure the integrity and completeness of the Investigation, comply with a request by external law enforcement, accommodate the availability of witnesses, accommodate delays by the parties, account for University breaks or vacations, or address other legitimate reasons, including the complexity of the (including the number of witnesses and volume of information provided by the parties) and the severity and extent of the alleged conduct. Any extension of the timeframes, and the reason for the extension, will be shared with the parties in writing.
 
B.    Initial Assessment
 
When a report is made, the Title IX Coordinator will conduct an Initial Assessment. The assessment will determine whether the alleged conduct could present a potential violation of the Title IX Policy and whether further action is warranted based on the alleged conduct.
 
The first step of the Initial Assessment will usually be a preliminary meeting between the Complainant and the Title IX Coordinator.  The purpose of the preliminary meeting is to gather facts that will enable the Title IX Coordinator, in consultation with other offices as appropriate, to:
  • Assess the nature and circumstances of the allegation
  • Address any immediate concerns about the physical safety and emotional well-being of the parties
  • If the conduct is criminal in nature, notify the Complainant of the option to notify law enforcement and to be assisted in doing so, as well as the option to decline to notify law enforcement
  • Notify the Complainant of the availability of medical treatment to address any physical and mental health concerns and to preserve evidence
  • Provide the Complainant with information about:
  • On and off campus resources
  • The available range of Interim Protective Measures
  • An explanation of the procedural options, including Voluntary Resolution and Investigation and Adjudication
  • Discuss the Complainant’s expressed preference for manner of resolution and any barriers to proceeding
  • Explain the University’s policy prohibiting Retaliation
  • Explain the role of an Advocate
  • Conduct an assessment for potential pattern evidence or other similar conduct
  • Assess the reported conduct for the need for a timely warning under federal law
Where a Complainant requests that their name or other identifiable information not be shared with the Respondent or that no formal action be taken, the Title IX Coordinator will balance this request against the following factors in reaching a determination whether the request can be honored:
  • The nature and scope of the alleged conduct, including whether the reported misconduct involves the use of a weapon;
  • The respective ages and roles of the Complainant and Respondent;
  • The risk posed to any individual or to the campus community by not proceeding, including the risk of violence;
  • Whether there have been other reports of misconduct by the Respondent;
  • Whether the report reveals a pattern of misconduct (e.g., via illicit use of drugs or alcohol) at a given location or by a particular group
  • The Complainant’s wish to pursue disciplinary action;
  • Whether the University possesses other means to obtain relevant evidence;
  • Considerations of fundamental fairness and due process with respect to the Respondent should the course of action include disciplinary action against the Respondent; and
  • The University’s obligation to investigate and provide a safe and non-discriminatory environment.
Where possible based on the facts and circumstances, the Title IX Coordinator will seek action consistent with the Complainant’s expressed preference for manner of resolution, recognizing that the University must move forward with cases in which there appears to be a threat to any individual or the University as a whole. The University’s ability to fully investigate and respond to a report may be limited if the Complainant requests that their name not be disclosed to the Respondent or declines to participate in an Investigation.
 
At the conclusion of the Initial Assessment, the Title IX Coordinator will determine the appropriate resolution route. Resolution may include: 1) no further action, or 2) initiation of an Investigation and findings that may lead to disciplinary action.
 
Regardless of the manner of resolution, a Respondent may choose to accept responsibility at any stage in the process.
 
C.    Voluntary Resolution
 
Voluntary Resolution, when selected by the Complainant and deemed appropriate by the Title IX Coordinator, is a path designed to eliminate the conduct at issue, prevent its recurrence, and remedy its effects in a manner that meets the expressed preference of the Complainant and the safety and welfare of the campus community. Voluntary Resolution does not involve an Investigation or disciplinary action against a Respondent, and is not appropriate for all forms of conduct under the Title IX Policy. The time frame for completion of Voluntary Resolution may vary, but the University will seek to complete the process within thirty (30) business days of the Complainant’s request.
 
The University retains the discretion to determine, when selected by the Complainant, which cases are appropriate for Voluntary Resolution. If a Complainant requests Voluntary Resolution, and the Title IX Coordinator concludes that Voluntary Resolution is appropriate based on the factors outlined in the Initial Assessment, the Title IX Coordinator will take appropriate action by imposing individual and community remedies designed to maximize the Complainant’s access to all employment, educational, and extracurricular opportunities and benefits at the University and to eliminate a potential hostile environment. A Complainant may request and decide to pursue Voluntary Resolution at any time. In those cases in which the Voluntary Resolution involves either the notification to or participation by the Respondent, it is the Respondent’s decision whether to accept Voluntary Resolution.
 
Voluntary Resolution may include: establishing Interim Protective Measures; conducting targeted or broad-based educational programming or training for relevant individuals or groups; providing increased monitoring, supervision, or security at locations or activities where the misconduct occurred; facilitating a meeting with the Respondent with the Complainant present (in cases that do not involve Sexual Assault); and any other remedy that can be tailored to the involved individuals to achieve the goals of the Title IX Policy. In some forms of Voluntary Resolution, the remedies imposed will focus on supporting the Complainant with no participation or involvement by the Respondent. In other forms of Voluntary Resolution, the Respondent may agree to participate. Depending on the type of remedy used, it may be possible for a Complainant to maintain anonymity.
 
Voluntary Resolution may also include restorative principles that are designed to allow a Respondent to accept responsibility for misconduct and acknowledge harm to the Complainant or to the University community. Restorative models will be used only with the consent of both parties, under the supervision of University-sanctioned trained professionals, and following a determination by the University that the matter is appropriate for a restorative approach.
 
The University will not compel a Complainant to engage in mediation, to confront directly the Respondent, or to participate in any particular form of informal resolution. Mediation, even if voluntary, will not be used in cases involving Sexual Assault. As the title implies, participation in Voluntary Resolution is a choice, and either party can request to end this manner of resolution and pursue an Investigation at any time, including if Voluntary Resolution is unsuccessful at resolving the report. Similarly, a Complainant can request to end an Investigation and pursue Voluntary Resolution at any time. In addition, either party may request Interim Protective Measures regardless of whether any particular course of action is sought.
 
To assess pattern or systemic behavior fairly, the Title IX Coordinator will maintain records of all reports and conduct referred for Voluntary Resolution. Information disclosed during the Voluntary Resolution process will not be considered during a subsequent Investigation or Adjudication.
 
Because the outcome of voluntary resolution process is mutually developed and agreed upon by the parties, an appeal of the process and its result is not permitted.
 
D.   Investigation
 
Following the Initial Assessment the University will initiate a prompt, thorough, and impartial Investigation of conduct that is a potential violation of the Title IX Policy.  The Title IX Coordinator will designate an investigator(s) from the Title IX Coordinator and Human Resources, or an external investigator, who has training and experience investigating allegations of Prohibited Conduct.  The investigator will coordinate the gathering of information to make an Investigative Finding regarding whether the alleged conduct constitutes a violation of the Title IX Policy by a preponderance of the evidence. A preponderance of the evidence means that it is more likely than not that the conduct occurred.
 
The investigation is a neutral fact-gathering process. The Respondent is presumed to be not responsible; this presumption may be overcome only where there is sufficient evidence, by a “Preponderance of the Evidence”, to support a finding that the Respondent violated the Title IX Policy. Neither party is required to participate in the investigation nor any form of resolution under these Procedures. The Investigator will not draw any adverse inference from a decision by either of the parties not to participate.
 
Information gathered during the Investigation will be used to evaluate the appropriate course of action, provide for individual and campus safety, and identify the need for Interim Protective Measures and other remedies as necessary to eliminate the alleged conduct and to address its effects.                    
1.    Investigative Process
 
The Title IX Coordinator will send the Complainant and the Respondent and, if applicable, the Respondent’s appropriate supervisor, a written Notice of Investigation, which constitutes the formal charge. The Notice of Investigation will contain a summary of the allegation or conduct at issue, the range of potential violations under the Title IX Policy, and the range of potential sanctions. Once the Notice of Investigation has been delivered to the parties, the Investigation phase begins.
 
The Title IX Coordinator will oversee the Investigation. The Investigation is designed to provide a fair and reliable gathering of the facts by a trained and impartial investigator. All individuals, including the Complainant, the Respondent, and any third party witnesses, will be treated with appropriate sensitivity and respect throughout the Investigation. The Investigation will safeguard the privacy of the individuals involved in a manner consistent with federal law and University policy.
 
During the Investigation, the Complainant and Respondent will have an equal opportunity to be heard, to submit information, and to identify witnesses who may have relevant information. The investigator will speak separately with the Complainant, the Respondent, and any other individuals who are willing to participate and have information relevant to the determination of responsibility. As part of the Investigation, the investigator may gather or receive information that is relevant to the determination of an appropriate sanction or remedy, including information about the impact of the alleged incident on parties. The investigator may also seek and review relevant information from the UABPD regarding prior criminal history.
 
Throughout the process, any participant may have an Advocate present at any meeting related to resolution of a report under the Title IX Policy. The Advocate can be anyone of the individual’s choosing, including an attorney, who is not otherwise a party or witness involved in the Investigation.
 
The investigator will also gather any available physical or documentary evidence, including prior statements by the parties or witnesses, any communications between the parties, email messages, social media materials, text messages, and other records as appropriate and available.
The filing and processing of a complaint of sexual misconduct is separate from and independent of any criminal investigation or proceeding. Where the University is made aware that there is a concurrent criminal investigation, the Title IX Coordinator will coordinate with law enforcement so that any University processes do not interfere with the integrity or the timing of the law enforcement investigation. At the request of law enforcement, the University may agree to defer the fact-finding portion of its Investigation until after the initial stages of a criminal investigation. The Title IX Coordinator will nevertheless communicate with the parties regarding resources and accommodations, procedural options, anticipated timing, and the implementation of any necessary Interim Protective Measures for the safety and well-being of all affected individuals. The investigator will promptly resume fact-gathering as soon as law enforcement has released the case for review following the initial criminal investigation. Neither law enforcement’s determination as to whether or not to prosecute a respondent nor the outcome of any criminal prosecution is determinative of whether sexual misconduct occurred under the University’s Title IX Policy.
 
All community members, including students, faculty and other University employees, are expected to cooperate with the Title IX Coordinator in the Investigation, as well as any Adjudication, of any report to assure fairness and procedural due process. The Title IX Coordinator may request the appearance of persons from the University community who can provide substantial, relevant evidence. Both a Complainant and a Respondent may decline to participate in proceedings under the Title IX Policy; the Title IX Coordinator will determine whether the Investigation and any Adjudication will proceed without the Complainant pursuant to the factors set out in § IV.B above or without the Respondent.
 
2.    Investigation Finding and Sanctions
 
At the conclusion of the investigation, the Investigator will prepare a report (the “Investigative Report”) summarizing and analyzing the relevant facts determined through the investigation, with reference to any supporting documentation or statements. However, before the report is finalized, the Complainant and Respondent will be given the opportunity to review a draft Investigation Report, which will not include the Investigative Finding, and may be presented in redacted format. The parties will not receive an electronic or written copy, nor may they photograph or copy the draft Investigation Report, but they will be permitted to take notes on the content.
 
A Complainant and Respondent may submit any additional comment or information to the investigator within five (5) business days of the date of the notice of the opportunity to review of the draft Investigation Report. This is the final opportunity for the parties to identify any additional information or witnesses. In the absence of good cause, information discoverable through the exercise of due diligence that is not provided to the investigator at this juncture will not be considered by the investigator or any other reviewing party.
 
The final Investigative Report will provide a summary of the Investigator’s impressions, including context for the evidence, and will make a determination as to whether the respondent’s conduct violated the Title IX Policy. The Title IX investigator will provide its determination, including the basis for the determination, in writing to the Complainant and the Respondent simultaneously.  When the Respondent is determined not to have violated the policy, the matter will be closed.  When the Respondent is determined to have violated the policy, the determination will also be forwarded to the appropriate person, as indicated below.
 
The Investigative Report will then be provided to the Dean of the Respondent’s School or College (if a faculty member), the Provost (if the complaint contains allegations against a Dean), or relevant Vice President, Supervisor or Dean (if a staff member or third-party).
 
As outlined below, after review of the Investigative Report, the Dean (with the approval of the Provost), Provost, or relevant Vice President or Supervisor, after consultation with HR or any other appropriate office, will, if a violation of the Title IX policy has been found, make a final determination as to the appropriate disciplinary sanction for the respondent’s violation of the Title IX Policy.
 
Faculty:  In cases involving faculty respondents, the parties have the right to appeal the investigative determination and the sanction imposed by the respondent’s Dean to the Provost.
The University’s determination as to whether the respondent’s conduct violated the Title IX Policy will be presumed to have been reached reasonably and appropriately, by a preponderance of the evidence. Therefore, an appeal is available only on the following grounds:
  • Materially Insufficient evidence to support the Investigator’s findings.
  • The disciplinary sanction imposed is materially disproportionate to the violation of the Title IX Policy.
  • The discovery of new, relevant evidence, that was unavailable to the appealing party during the investigation that could reasonably affect the outcome of the case.
  • Significant Prejudicial bias on the part of the Investigator.
Any appeal must be in writing and should be filed with the Title IX Coordinator within ten (10) calendar days of the date of receipt of the Dean’s final decision. The appeal must be in writing and contain the following:
  • Name of the complainant
  • Name of the respondent
  • A statement of the determination of the complaint, including corrective action if any
  • A detailed statement of the basis for the appeal including the specific facts, circumstances, and argument in support of it
  • Requested action, if any.
 
The Title IX Coordinator may accept a late submission under extenuating circumstances. The Provost will make a final decision within 21 calendar days of receipt of the appeal by the Title IX Coordinator and may take any and all actions that the Provost determines to be in the interest of a fair and just decision. The decision of the Provost will be final. The Provost shall issue a short and plain, written statement of the resolution of the appeal, including any changes made to the Title IX Coordinator or Dean’s previous written determination. The written statement shall be provided to the complainant, respondent, and the Title IX Coordinator within three (3) days of the resolution. 
 
A determination as set forth above that a violation of the Title IX Policy has occurred shall subject a faculty member to appropriate disciplinary action subject to the You & UAB Handbook and Faculty Handbook. See UAB Faculty Handbook to review the applicable disciplinary and/or grievance process.
 
Staff: A determination as set forth above that a violation of the Title IX Policy has occurred shall subject a staff member to appropriate disciplinary action pursuant to the You & UAB Handbook. The University has adopted a philosophy of progressive discipline. However, one violation of this Policy could result in termination of employment. See You and UAB Handbook to review the applicable disciplinary and/or grievance process.
 
Residents: If the Title IX Investigator determines that a Resident violated the Title IX policy, the Title IX investigator will notify the Program Director and the Office of Graduate Medical Education. After reviewing the determination and in consultation with the Office of Graduate Medical Education and HR, the Program Director will follow the process set out in the applicable Graduate Medical Education Policies and Procedures manual.
 
Postdoctoral Fellows and Trainees: If the Title IX Investigator determines that a postdoctoral fellow or trainee violated this policy, the Title IX Investigator will notify the Office of Postdoctoral Affairs.   After reviewing the determination and in consultation with HR and any other appropriate office, the process for similar conduct violations will be followed.
 
Community Member/Third-Party/Affiliate/Non-Affiliate/Campus Visitor: If the Title IX Investigator determines that a third-party, visitor, affiliate, community member or non-affiliate (i.e. an individual not affiliated with UAB) violated the Title IX policy, the Title IX Investigator will notify the relevant Vice President.  After reviewing the determination and in consultation with any other appropriate office, sanctions will be determined.
 
Appropriate sanctions will be based on such factors as severity, frequency, and degree of deviation from expectations in the Title IX Policy. Possible sanctions may include, but are not limited to, no contact order, verbal counseling, written counseling or warning, official reprimand, mandatory counseling, mandatory attendance at the Employee Assistance Program, educational assignment, fines, restitution, paid or unpaid administrative leave, reassignment of responsibilities, ineligibility to receive raise or promotion, suspension of annual merit increase, decrease in salary, suspension, demotion, transfer, termination of employment, campus ban/no trespass warning from UABPD, prohibition on further employment at the University, loss of University benefits for retirees, and referral to proper law enforcement authorities for prosecution.
 
The Title IX Coordinator will inform the Complainant that appropriate corrective action has been taken, but cannot reveal the specifics of the action if it is a confidential personnel action. 
 
3.    Post-Resolution Follow Up
 
After a sanction or remedy is issued, the Title IX Coordinator will periodically contact the Complainant to ensure the Prohibited Conduct has ended and to determine if additional remedies are necessary and will contact the Respondent to assure compliance with any sanctions that have been imposed. The Complainant may decline future contact. Any violation by a Respondent of a sanction or protective measure imposed under the Title IX Policy or a failure by a University employee to provide a specified remedy should be reported to the Title IX Coordinator.
 
The Complainant and Respondent are encouraged to provide the Title IX Coordinator with feedback about their experience with the process and recommendations regarding ways to improve the effectiveness of the campus’ implementation of the Title IX Policy.
 
 
VI. COMPLAINANT’S PARTICIPATION AND REQUESTS FOR CONFIDENTIALITY
 
If the Complainant is willing to participate in the review and investigation process, the Title IX investigation will proceed as described in the Investigation section below.
 
If the Complainant requests confidentiality or asks that the report of sexual misconduct not be pursued, the University will, generally before taking any further investigative steps, evaluate the Complainant’s request in the manner set forth in Section VB of the Title IX Policy. The evaluation will be conducted by the Title IX Coordinator in consultation with a small number of University administrators as deemed necessary and appropriate under the circumstances. The University may continue the process without the complainant’s participation.
 
Even absent a request for confidentiality, every reasonable effort will be made to protect the privacy of all parties during the investigation. UAB will disclose information about its investigation and resolution of sexual misconduct complaints only to those who need to know the information in order to carry out their duties and responsibilities. It will inform all University personnel participating in an investigation, proceeding, or hearing that they are expected to maintain the privacy of the process. This does not prohibit either a Complainant or Respondent from obtaining the assistance of family members, counselors, therapists, clergy, doctors, attorneys, or other resources.
 
 
 
VII.     OTHER RELEVANT INFORMATION
 
A.    Adviser
 
Complainants and Respondents may be accompanied by one adviser throughout the investigation and any hearing process. An adviser is a support person who is present to provide support to a complainant or respondent throughout an investigation and/or hearing. An adviser may not speak, write, or otherwise communicate with an investigator, hearing officer or panel on behalf of the Complainant or Respondent. Advisers who do not abide by these guidelines may be excluded from the process.
 
B.    Preservation of Records  
 
A confidential record of all complaints, including their disposition, will be maintained by the Title IX Coordinator and Human Resources in accordance with UAB’s document retention policy.
 
C.    Intersection With Other Procedures
 
These complaint resolution procedures are the exclusive means of resolving complaints alleging violations of the Title IX Policy. To the extent there are any inconsistencies between these complaint resolution procedures and other University grievance, complaint, or discipline procedures, these complaint resolution procedures will control the resolution of complaints alleging violations of the Title IX Policy. 
 
 
[1]  These procedures should be read in conjunction with the Title IX Policy.