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Procedures Concerning Allegations of Misconduct - Definition

VI. RESEARCH AND CREATIVE ENDEAVOR (Cont.)

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

I.  Definition

a. "Allegation of Misconduct" means a charge of Misconduct or a report of suspected Misconduct, of an apparent instance of Misconduct, or of conduct by a Respondent that could, upon review by the University under these Procedures, constitute Misconduct.

b. "Bad Faith" means the intentional or reckless disregard of information known or readily available to a Complainant or witness that would have led a reasonable person in the position of the Complainant or witness to have testified or acted differently than the Complainant or witness did.  "Bad Faith" is not mistaken judgment, honest error, or mere negligence; it denotes (a) the doing of a wrong for an interested, malicious, or other improper purpose (e.g., to abuse or harass a Respondent through intentional or reckless disregard of information that would have led a reasonable person to conclude an Allegation of Misconduct had no merit); or (b) a conscious attempt to mislead or deceive.  The context in which actions or testimony have occurred is a relevant and important factor to be taken into account in determining whether a Complainant or witness has acted in Bad Faith.¹

c."Complainant" means a person who makes an Allegation of Misconduct.  A Complainant need not be a member of the University community.

d. "Conflict of Interest" means any financial interest, or scholarly or social commitment or relationship, that would, in the judgment of the UIIO, impair the ability of a Responsible Administrator or a member of an Inquiry Panel or an Investigative Committee to make fair and impartial judgments about an Allegation of Misconduct.

e. "Creative Activities" means the preparation or creation of computer programs, motion pictures, sound recordings, and literary, pictorial, musical, dramatic, audiovisual, choreographic, sculptural, architectural, and graphic works of any kind by (1) a faculty member or other employee of the University as part of her or his noninstructional scholarly activities, or (2) a student in fulfillment of any independent study requirement at the University whose product is intended to be an original scholarly or creative work of potentially publishable quality (including, without being limited to, a master's or doctoral thesis).

f. "HHS" means the United States Department of Health and Human Services.

g. "Inquiry" means information gathering and initial fact finding to determine whether an Allegation of Misconduct warrants an Investigation.

h. "Inquiry Panel" means a group of at least three persons appointed by the Responsible Administrator to conduct an Inquiry.

i. "Investigation" means the formal, thorough examination and evaluation of all facts relevant to an Allegation of Misconduct to determine if Misconduct occurred and to assess its extent, gravity, and consequences.

j. "Investigative Committee" means a group of at least three persons appointed by the Responsible Administrator to conduct an Investigation

k. "Misconduct" means fabrication, falsification, plagiarism, or any other practice by a Respondent that seriously deviates from practices commonly accepted in the discipline or in the academic and research communities generally for proposing, conducting, or reporting Research and Creative Activities.  Serious or continuing non-compliance with government regulations pertaining to Research may constitute Misconduct.  Retaliation also constitutes Misconduct. ²Misconduct does not include honest error or honest differences in the interpretation or judgment of data.

l. "NSF" means the National Science Foundation.

m. "Preliminary Assessment" means initial information gathering to determine whether there is credible evidence to support further review of the Allegation of Misconduct and whether the Respondent’s alleged conduct could constitute Misconduct, Questionable Research Practices, or Unacceptable Research Practices.

n. "Procedures" means these Procedures Concerning Allegations of Misconduct in Research and Creative Activities.

o. "Proceeding" means a Preliminary Assessment, an Inquiry, an Investigation, or an appeal under Section IX of these Procedures.

p. "Questionable Research Practices" means practices that do not constitute Misconduct or Unacceptable Research Practices but that require attention because they could erode confidence in the integrity of Research or Creative Activities.

q. "Research" means formal investigation conducted for the purpose of producing or contributing to generalizable knowledge, and the reporting thereof, by (1) a faculty member or other employee of the University as part of his or her noninstructional scholarly activities, or (2) a student in fulfillment of any independent study requirement at the University whose product is intended to be an original scholarly or creative work of potentially publishable quality (including, without being limited to, a master's or doctoral thesis).

r. "Respondent" means a person who is the subject of an Allegation of Misconduct.  A Respondent must be an employee of the University or a student at the University, or must have been an employee or a student at the time the Misconduct allegedly occurred.

s. "Responsible Administrator" means the administrator who has most immediate responsibility for the Respondent and who is not disqualified from serving as Responsible Administrator by a Conflict of Interest.  The UIIO shall identify the Responsible Administrator.  If the Responsible Administrator is a dean or vice president, she or he may designate a subordinate to act as Responsible Administrator.  If the Respondent is a student, the Responsible Administrator shall be the chairperson of the department with which the student is affiliated.  If an Allegation of Misconduct involves multiple Respondents, the UIIO shall identify an appropriate individual as the Responsible Administrator.

t. "Retaliation" means an adverse action against a Complainant or a witness who has not acted in Bad Faith, who has engaged in a protected activity during a Proceeding, and who has suffered an adverse action, where there is a clear causal link between the protected activity and the adverse action.  An adverse action is an action which materially and negatively affects the terms and conditions of the Complainant’s or witness’ status at the University.  Providing information about, or otherwise cooperating in the review of, an Allegation of Misconduct is a protected activity.

u. "Review Panel" means a body described in Section II(l).

v. "UGC" means the University Graduate Council.

w. "UIIO" means the University Intellectual Integrity Officer.

x. "Unacceptable Research Practices" means practices that do not constitute Misconduct but that violate applicable laws, regulations, or other governmental requirements, or University rules or policies, of which the Respondent had received notice or of which the Respondent reasonably should have been aware.

y. "VPRGS" means the University's Vice President for Research and Graduate Studies.

¹ The University views a finding that an individual acted in Bad Faith as grounds for disciplinary action up to and including the termination of employment of faculty and staff and the dismissal of students.

² In December, 2000, the Office of Science and Technology Policy ("OSTP") published a definition of Misconduct that does not include retaliation. Federal agencies are in the process of adopting new definitions of Misconduct that conform to the OSTP definition. New federal regulatory approaches to retaliation arising out of research misconduct are also under consideration. As the federal government takes action in these areas, it is anticipated that the definition of Misconduct will be amended to remove Retaliation from the definition of Misconduct. Pending such an amendment, the UIIO may suggest to Complainants that Allegations of Misconduct based on Retaliation be withdrawn and filed under other University procedures in which retaliation charges may be considered (e.g., under the Faculty Grievance Procedure).