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Procedures Concerning Allegations of Misconduct - Allegations of Misconduct and Preliminary Assessments

VI. RESEARCH AND CREATIVE ENDEAVOR (Cont.)

PROCEDURES CONCERNING ALLEGATIONS OF MISCONDUCT
IN RESEARCH AND CREATIVE ACTIVITIES (Cont.)

These Procedures were approved by the Board of Trustees on April 11, 1997 and revised on June 28, 2002.

VI. Allegations of Misconduct and Preliminary Assessments

a. Allegation of Misconduct.  Any member of the University community or other person who wishes to make an Allegation of Misconduct shall contact the UIIO.  An Allegation of Misconduct need not be made in writing.

The UIIO shall notify the Respondent promptly of an Allegation of Misconduct and of the Respondent's right to be advised by counsel during all Proceedings.

The UIIO shall advise the VPRGS and the Provost of all formal Allegations of Misconduct. An Allegation of Misconduct becomes formal when preliminary discussions with the UIIO do not resolve the Complainant’s concerns or redirect them to another venue, such as that provided under the Faculty Grievance Procedure or Graduate Student Rights and Responsibilities.

b. Preliminary Assessment. In the event of an Allegation of Misconduct, the UIIO shall promptly conduct a Preliminary Assessment to determine whether an Inquiry is warranted.

c. Purpose and Nature of Preliminary Assessment. The Preliminary Assessment is a preliminary  process whose purpose is to cull out a clearly erroneous, unsubstantiated, or bad faith Allegation of Misconduct before the Respondent is subjected to an Inquiry or an Investigation. Hence, in conducting the Preliminary Assessment, the UIIO is not obligated to do any interviews on the Allegation of Misconduct or to engage in an exhaustive review of all evidence relevant to such Allegation.

d. Preliminary Assessment - Standard for Determination. The UIIO shall determine that an Inquiry is warranted if, in his or her judgment, (1) the Respondent's alleged conduct could constitute Misconduct, Questionable Research Practices, or Unacceptable Research Practices, and (2) there is credible evidence to support further review of the Allegation of Misconduct.

e. Inquiry Warranted. If the UIIO determines that an Inquiry is warranted, the UIIO shall prepare  an Assessment Referral which explains the basis for his or her determination.  The UIIO shall transmit copies of the Assessment Referral to the Respondent and the VPRGS. The UIIO shall also notify the Complainant of the outcome of the Preliminary Assessment and provide the Complainant with a brief summary of the Assessment Referral.

After completing the Assessment Referral, the UIIO shall identify the Responsible Administrator, who shall then immediately initiate an Inquiry.

f. Inquiry Not Warranted. (1) If the UIIO determines that an Inquiry is not warranted, the UIIO shall prepare an Assessment Report that states the basis and rationale for his or her determination.  The UIIO shall provide a copy of the Assessment Report to the Respondent, the Complainant, and the VPRGS.

Within ten days following receipt of the Assessment Report, the Complainant may challenge the UIIO’s determination that an Inquiry is not warranted, pursuant to Section II(l) above, but only on the grounds that (A) the Respondent's alleged conduct could constitute Misconduct, and (B) there is credible evidence to support further review of the Allegation of Misconduct.

(2) The UIIO’s determination that an Inquiry is not warranted, unless overturned pursuant to Section II(l) above, shall conclude the University's review of that Allegation of Misconduct.

g. Bad Faith. If the UIIO finds that the Complainant acted in Bad Faith in making the Allegation of Misconduct, or that the Complainant or any witness acted in Bad Faith during the Preliminary Assessment, the UIIO shall include that finding, with a brief explanation of the basis for the finding, in either the Assessment Referral or Assessment Report, as appropriate.  The individual found to have acted in Bad Faith may appeal that finding pursuant to Section II(l)(3) above.

h. Retention of Report or Referral. If the UIIO determines that an Inquiry is warranted, the UIIO shall keep the Assessment Referral for at least three years after the completion of the Assessment. If the UIIO determines that an Inquiry is not warranted, the UIIO shall keep the Assessment Report for three years after the completion of the Preliminary Assessment and then destroy it.

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